Kathleen Patricia Smith (CRD #3078908, Associated Person, Cincinnati, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any NASD member in any capacity for 30 days. Without admitting or denying the findings, Smith consented to the described sanctions and to the entry of findings that she failed to disclose a material fact on her Form U4.
The suspension in any capacity was in effect from January 16, 2007, through February 14, 2007. (NASD Case #2005001983701)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature.  Please contact us for a free evaluation.