DID WAYNE BARRY SMITH CAUSE YOU INVESTMENT LOSSES?

Wayne Smith Of Cetera Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Wayne Smith of Cetera Advisors LLC?

Wayne Smith (CRD #1016825) who is currently registered as a broker with Cetera Advisors LLC and located in Omaha, Nebraska, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors LLC, Wayne Smith was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Wayne Smith Customer Complaints

Wayne Smith has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Cetera Advisors in favor of the investor. The other customer complaint was denied by Wayne Barry Smith’s former employer and the customer took no further action.

Allegations Against Wayne Smith

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Failure to make full disclosure of bond investment.
• Misrepresentation and unsuitable investment recommendations of business development companies and REITs.

Wayne Smith Red Flags & Your Rights As An Investor

Of course, Wayne 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 Wayne Smith at Cetera Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Wayne Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors LLC also raises questions about the brokerage firm’s 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.

Need Legal Help? Let’s talk.

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

File A Claim To Recover Your Investment Losses At Cetera Advisors LLC Due To Wayne Smith

If you have questions about Cetera Advisors LLC and/or Wayne 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.

Rate this Post

Loading...