MALCOLM HOLMES SMITH is currently employed as a Broker and/or Investment Adviser at APW CAPITAL, INC. located at 156 COLLEGE STREET, BURLINGTON, VT, 05401.
MALCOLM HOLMES SMITH has worked at APW CAPITAL, INC. since July 16, 2009
Disclosure History
MALCOLM HOLMES SMITH has 1 Disclosure Event(s).
Date: February 03, 1998 Category: Customer Dispute Allegations: DOCKET 2387-0003 BREACH OF CONTRACT,NELGIGENCE, FRAUD. AMOUNT OF DAMAGES UNCLEAR AT THIS TIMEEMPLOYING FIRM: NEW ENGLAND SECURITIES. Damage Amount Requested: $20,000.00 Settlement Amount: $20,000.00 Broker Comment: ALL CHARGES DISMISSED WITH PREJUDICE. BERKSHIRE LIFE, AN ACCOUNTING FIRM, AND I ALL PAID DIFFEREING AMOUNTS OF THE $20,000.00 TOTAL SETTLEMENT. THE ALLEGATIONS ARE BASED ON A CLAIM THAT A 403(B) RETIREMENT PLAN WAS IMPROPERLY ESTABLISHED AND THUS IS NOT QUALIFIED UNDER IRS REGULATIONS AS A TAX FAVORED RETIREMENTPLAN
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