The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Ronald Lee Smith. According to his publicly available FINRA BrokerCheck report, Ronald Lee Smith has been the subject of a customer complaint.
Ronald Lee Smith is a Kansas based securities broker. He has worked in the securities industry for thirty-nine years. During his career, he has been registered with twelve different securities firms.
His Registrations
- A.G. Edwards & Sons (1980-1983)
- First Mid-America (1983)
- Paine, Webber, Jackson & Curtis (1983-1984)
- Shearson Lehman Brothers (1984-1986)
- Integrated Resources Equity (1986-1988)
- B.C. Christopher Securities (1988-1990)
- Fahnestock & Co. (1990-1992)
- Principal Financial Securities (1992-1997)
- Prospera Financial Services (1997-2000)
- Chapman Securities (2000-2004)
- Neidger, Tucker, Bruner (2004-2006)
- Securities America (2006-Present)
The Allegations
In November 2017, a customer alleged that Ronald Lee Smith made poor stock choices and failed to monitor his investments. The customer also alleged that Ronald Lee Smith charged them a greater fee than what they had previously agreed upon. This case is currently pending. The customer is seeking $25,000 in damages.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Ronald Lee Smith, please contact Oakes & Fosher for a free and private consultation.
