MATTHEW J SMITH

MATTHEW J SMITH is currently employed as a Broker and/or Investment Adviser at CARTER, TERRY & COMPANY, INC. located at 3060 PEACHTREE ROAD SUITE 1400, ATLANTA, GA, 30305.

MATTHEW J SMITH has worked at CARTER, TERRY & COMPANY, INC. since February 02, 2005

Disclosure History

MATTHEW J SMITH has 1 Disclosure Event(s).

Date: March 20, 2005
Category: Customer Dispute
Allegations: CLIENT COMPLAINT ALLEGES THAT THREE VARIABLE ANNUITIES SOLD TO HIM WERE UNSUITABLE AND IS NOT HAPPY WITH THE PERFORMANCE OF THE ANNUITIES CLAIMING LOSSES OF APPROXIMATELY $50,000 AND OTHER DAMAGES (SURRENDERS CHARGES, ETC) OF $50,000.
Damage Amount Requested: $100,000.00
Settlement Amount: $60,000.00
Broker Comment: THIS WAS PREVIOUSLY DENIED, AND RAYMOND JAMES SETTLED WITHOUT BROKER'S KNOWLEDGE. HE WAS NOT ASKED TO CONTRIBUTE.

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.

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