Goodman & Nekvasil P.A., May Recover Investor Losses on Structured Notes – Kevin Peter Smith (Kevin Smith) Fired by Morgan Stanley Smith Barney LLC
From 2007 until Kevin Smith’s firing in 2016, Kevin Smith was licensed with Morgan Stanley. According to FINRA’s records, Kevin Smith was fired by Morgan Stanley Smith Barney LLC on October 3, 2016. Morgan Stanley Smith Barney LLC reported to FINRA that Kevin Smith’s firing related to Kevin Smith’s activities while trustee on a family member’s trust and related to a trade that may have been executed without confirming with the client beforehand, according to the client.
FINRA reports that a complaint involving Kevin Smith’s conduct with Morgan Stanley was filed, with the client alleging that the purchases of two structured notes in 2015 were misrepresented. This arbitration claim was settled for $57,944.89.
If you lost any money on investments, including structured notes with Kevin Smith, you may be able to recover your losses from Morgan Stanley. This is because Morgan Stanley had a duty to supervise Kevin Smith.
If you lost money on investments, including structured notes with Kevin 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 Morgan Stanley concerning Kevin 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 $170 million on behalf of victimized investors. If you lost money on investments, including structured notes with Kevin 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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