Goodman & Nekvasil P.A, May Recover Investor Losses – Fred Neel Smith (Neel Smith) Formerly Licensed with Signator Investors, Inc.
From 2015 until 2017, Neel Smith was licensed with Signator Investors, Inc.
FINRA reports five arbitration claims/complaints were filed alleging sales practice violations against Neel Smith. The claims alleged that CD and corporate debt purchases were unsuitable, misrepresented, and/or clients were unaware of product features and maturity date. The claims were settled, with the highest settlement being $40,930.41.
If you lost any money on investments with Neel Smith, you may be able to recover your losses from Signator Investors, Inc. and/or Signator Financial Services, Inc. This is because Signator Investors, Inc. and Signator Financial Services, Inc. had a duty to supervise Neel Smith.
If you lost money on investments with Neel Smith, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Signator Investors, Inc. and/or Signator Financial Services, Inc., concerning Neel Smith’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on any investments with Neel Smith and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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