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JAMES WAYNE SMITH

JAMES WAYNE SMITH is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 12125 WOODCREST EXECUTIVE DR., SUITE 206, ST. LOUIS, MO, 63141.

JAMES WAYNE SMITH has worked at INDEPENDENT FINANCIAL GROUP, LLC since August 06, 2010

Disclosure History

JAMES WAYNE SMITH has 4 Disclosure Event(s).

Date: May 13, 2011
Category: Customer Dispute
Allegations: CUSTOMER LETTERS TO THE BETTER BUSINESS BUREAU AND THE SEC ALLEGE MISREPRESENTATION AND UNSUITABILITY OF INVESTMENT RELATED TO VARIABLE ANNUITY PURCHASE IN 2005.
Damage Amount Requested: $23,000.00
Broker Comment: I CAN ONLY SPECULATE AS TO WHY [CUSTOMER] IS MAKING THESE UNTRUTHFUL ALLEGATIONS. THERE ARE MANY PERSONAL AND/OR FINANCIAL POSSIBILITIES OF WHICH WE MAY NEVER BECOME AWARE. THERE WAS NO MISREPRESENTATION AND ALL INVESTMENTS WERE SUITABLE. WE DISCUSSED EVERY ASPECT OF THE RECOMMENDATIONS AT LENGTH AND IN DETAIL AND PROVIDED ALL THE APPROPRIATE PROSPECTUSES AND DISCLOSURES AND HAVE SIGNED COPIES. THESE ALLEGATIONS ARE BASELESS AND THE RECOMMENDATION WILL BE VIGOROUSLY DEFENDED. CLOSED BY BBB, NO FURTHER ACTION

Date: October 24, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE REP WAS DECEPTIVE AND DISHONEST.
Damage Amount Requested: $9,318.64

Date: December 14, 2005
Category: Customer Dispute
Allegations: CUSTOMER CLAIMS SHE WAS TOLD HER INVESTMENT WOULD NEVER DROP BELOW $100,000.00.
Damage Amount Requested: $9,882.00

Date: July 07, 1988
Category: Criminal
Charges: ABUSE OF A CHILD, 1 COUNT, FELONY, DISMISSED Charge Type: FELONY
Disposition: A. DISMISSED B. 11/17/1988 C. N/A D. N/A E. N/A F. N/A G. N/A
Broker Comment: MY WIFE AND I HAD SPECIFICALLY PROHIBITED OUR TEENAGE DAUGHTER AT THE TIME FROM ASSOCIATING WITH AN OLDER BOY WHO WAS KNOWN TO BE A DRUG USER. EARLY IN THE MORNING WE RECEIVED A PHONE CALL FROM THE POLICE STATION TO PICK HER UP. SHE WAS UNDER THE INFLUENCE OF DRUGS WHEN WE ARRIVED AT THE STATION. WHEN WE RETURNED HOME, I ATTEMPTED TO SPANK HER AND SHE BROKE FREE AND PROCEEDED TO A FRIEND'S HOUSE AND INFORMED HER FRIEND'S MOTHER I WAS ABUSING HER. THE MOTHER THEN CALLED THE DIVISION OF FAMILY SERVICES WHO CHARGED ME WITH CHILD ABUSE. THE CHARGES WERE DISCMISSED WHEN THE DETAILS WERE EXAMINED AND MY DAUGHTER ACKNOWLEDGED THERE WAS NO ABUSE.

More Information

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