Robert Smith Allegedly Misrepresented Annuity Policies
Robert Smith (CRD #: 1033817), a broker registered with Equitable Advisors, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on October 16, 2023. Keep reading if you have questions about his alleged conduct as a broker.
On September 5, 2023, an investor alleged Robert Smith misrepresented annuity policies sold in 2019, 2020, and 2021.
FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule.
Robert Smith has passed the following exams:
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He is a registered broker in California.
During his 36 years of experience, he has only ever registered with The Equitable Life Assurance Society of the United States (CRD #: 4039) and Equitable Advisors (CRD #: 6627).
Kurta Law Can Help
If you worked with Robert Smith and have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.