JOHN LEE SMITH is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 707 VAIL STREET, PRINCETON, IN, 47670.

JOHN LEE SMITH has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since June 15, 2017

Disclosure History

JOHN LEE SMITH has 1 Disclosure Event(s).

Date: May 09, 2017
Category: Employment Separation After Allegations
Firm Name: Edward Jones
Termination Type: Discharged
Allegations: Smith's employment was terminated for creating and submitting a letter purporting to be from a third party to establish a hardship reason for obtaining withdrawals from his 401K plan. Not client or sales practice-related.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JOHN LEE SMITH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.