LAWRENCE JOSEPH SMITH

LAWRENCE JOSEPH SMITH is currently employed as a Broker and/or Investment Adviser at CENTURY SECURITIES ASSOCIATES, INC. located at 2906 CREEKS EDGE PKY, AUSTIN, TX, 78733.

LAWRENCE JOSEPH SMITH has worked at CENTURY SECURITIES ASSOCIATES, INC. since August 07, 2009

Disclosure History

LAWRENCE JOSEPH SMITH has 1 Disclosure Event(s).

Date: September 04, 2002
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNSUITABILITY OF INVESTMENTS, UNAUTHORIZED TRADING, MISREPRESENTATION, CHURNING, FRAUD, AND NEGLIGENCE.
Damage Amount Requested: $45,000.00
Settlement Amount: $15,000.00

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.

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