DID SCOTT PAUL SMITH CAUSE YOU INVESTMENT LOSSES?

Scott Smith Formerly With J.W. Cole Financial, Inc. and Edward Jones Has A Customer Complaint For Alleged Broker Misconduct

Who is Scott Smith formerly with J.W. Cole Financial, Inc.?

Scott Smith (CRD #4522269) who was formerly registered with J.W. Cole Financial, Inc. and located in Huntington Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to J.W. Cole Financial, Inc., Scott Smith was associated with Edward Jones and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Scott Smith has had his own regulatory problems. In January 2023, Smith consented to the sanctions and to the entry of findings that he borrowed $78,000 from an elderly customer through 5 separate loans without providing prior written notice to or obtaining written approval from his member firm. FINRA suspended him for 12 months and fined him $10,000.

Investment Losses? Let’s talk.

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Scott Smith Customer Complaint

Scott Smith has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Scott Smith took a loan from the client in violation of FINRA rules.

Scott Smith Red Flags & Your Rights As An Investor

Of course, Scott Smith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Scott Smith at J.W. Cole Financial, Inc. and Edward Jones on alert to review carefully the activity and performance of their accounts and question whether Scott Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.W. Cole Financial, Inc. and Edward Jones also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

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or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At J.W. Cole Financial, Inc. Due To Scott Smith

If you have questions about J.W. Cole Financial, Inc., Edward Jones and/or Scott Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Scott Smith formerly with J.W. Cole Financial, Inc.