HOLLY SMITH is currently employed as a Broker and/or Investment Adviser at CAPITOL SECURITIES MANAGEMENT, INC. located at 6417 SLAUGHTER BEACH ROAD, MILFORD, DE, 19963.
HOLLY SMITH has worked at CAPITOL SECURITIES MANAGEMENT, INC. since August 11, 2008
Disclosure History
HOLLY SMITH has 4 Disclosure Event(s).
Date: November 30, 1993 Category: Customer Dispute Allegations: FORMER CLIENT ALLEGED UNSUITABILITY WITHUNSPECIFIED INVESTMENTS WHICH COULD RESULT IN LOSSES IN EXCESSOF $200,000 Settlement Amount: $65,000.00 Broker Comment: SETTLED FOR $65,000Not Provided
Date: October 21, 1993 Category: Customer Dispute Allegations: THE ABOVE REFERENCED CLIENT HAS SUBMITTED ACLAIM FORM TO THE CLAIMS RESOLUTION PROCESS RELATING TO THEPURCHASES OF VARIOUS LIMITED PARTNERSHIP DURING THE PERIOD12/88 TO 11/89. THE ABOVE MENTIONED REGISTERED REPRESENTATIVEWAS THE BROKER OF RECORD AT THE TIME OF THE PURCHASES. NODAMAGES WERE ALLEGED BUT THE AMOUNT OF ACTUAL LOSS (OUT OFPOCKET) IS: $11,633 Damage Amount Requested: $11,633.00 Settlement Amount: $15,855.00 Broker Comment: A SETTLEMENT FOR THE ABOVE CLIENT HAS BEENREACHED IN THE CLAIMS RESOLUTION PROCESS. THE DOLLAR AMOUNT OFTHE SETTLEMENTS IS AS FOLLOWS: $15,855THIS MATTER RESULTED FROM THE UNPRECEDENTED,UNSOLICITED MAILING OF CLAIMS FORMS BY PSI TO OVER 340,000INVESTORS WHO PURCHASED LIMITED PARTNERSHIP THROUGH PSI FROMJANUARY 1, 1980 TO JANUARY 1, 1991. THE ABOVE REFERENCEDCLIENT SUBMITTED A CLAIM FORM IN RESPONSE TO THIS MAILING. THECLAIM FORM WAS EVALUATED BY PSI IN ACCORDANCE WITH THESTANDARDS ESTABLISHED UNDER THE SETTLMENT BETWEEN PSI, THE SEC,NASD AND THE STATE SECURITIES ADMINISTRATORS. THE REPORTEDSETTLEMENT AROSE OUT OF THIS UNIQUE PROCESS.
Date: October 21, 1993 Category: Customer Dispute Allegations: THE ABOVE CLIENTS SUBMITTED CLAIM FORMS TOTHE CLAIMS RESOLUTION PROCESS RELATING TO LIMITED PARTNERSHIPPURCHASES DURING THE PERIOD 2/88 - 1/90. THE ABOVE MENTIONEDREGISTERED REP. WAS THE BROKER OF RECORD AT THE TIME OF THEPURCHASES. NO DAMAGES WERE ALLEGED BUT THE AMOUNTS OF ACTUALLOSS (OUT OF POCKET) IS/ARE APPROXIMATELY $15,253;$11,244 Damage Amount Requested: $15,253.00 Settlement Amount: $21,422.00 Broker Comment: SETTLEMENT(S) WITH THE ABOVE CLIENTS HAS/BEENREACHED IN THE CLAIMS RESOLUTION PROCESS. THE DOLLAR AMOUNTSOF THE SETTLEMENTS IS/ARE APPROXIMATELY $21,422;$16,219THIS MATTER RESULTED FROM THE UNPRECENTED,UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROMJANUARY 1, 1980 TO JANUARY 1, 1991. THE ABOVE REFERENCEDCLIENTS SUBMITTED CLAIM FORMS IN RESPONSE TO THIS MAILING. THECLAIM FORMS WAS/WERE EVALUATED BY PSI IN ACCORDANCE WITH THESTANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THESEC, NASD AND THE STATE SECURITIES ADMINISTRATORS. THEREPORTED SETTLEMENTS AROSE OUT OF THIS UNIQUE PROCESS.
Date: October 21, 1993 Category: Customer Dispute Allegations: THE ABOVE CLIENTS SUBMITTED CLAIM FORMS TOTHE CLAIMS RESOLUTION PROCESS RELATING TO LIMITED PARTNERSHIPPURCHASES DURING THE PERIOD 2/88 - 1/90. THE ABOVE MENTIONEDREGISTERED REP. WAS THE BROKER OF RECORD AT THE TIME OF THEPURCHASES. NO DAMAGES WERE ALLEGED BUT THE AMOUNTS OF ACTUALLOSS (OUT OF POCKET) IS/ARE APPROXIMATELY $15,253;$11,244 Damage Amount Requested: $11,244.00 Settlement Amount: $16,219.00 Broker Comment: SETTLEMENT(S) WITH THE ABOVE CLIENTS HAS/BEENREACHED IN THE CLAIMS RESOLUTION PROCESS. THE DOLLAR AMOUNTSOF THE SETTLEMENTS IS/ARE APPROXIMATELY $21,422;$16,219THIS MATTER RESULTED FROM THE UNPRECENTED,UNSOLICITED MAILING OF CLAIM FORMS BY PSI TO OVER 340,000INVESTORS WHO PURCHASED LIMITED PARTNERSHIPS THROUGH PSI FROMJANUARY 1, 1980 TO JANUARY 1, 1991. THE ABOVE REFERENCEDCLIENTS SUBMITTED CLAIM FORMS IN RESPONSE TO THIS MAILING. THECLAIM FORMS WAS/WERE EVALUATED BY PSI IN ACCORDANCE WITH THESTANDARDS ESTABLISHED UNDER THE SETTLEMENT BETWEEN PSI, THESEC, NASD AND THE STATE SECURITIES ADMINISTRATORS. THEREPORTED SETTLEMENTS AROSE OUT OF THIS UNIQUE PROCESS.
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