RALPH WILSON SMITH is currently employed as a Broker and/or Investment Adviser at SECURITIES SERVICE NETWORK, LLC located at 3303 Inner Perimeter Rd, SUITE 301, Valdosta, GA, 31605.
RALPH WILSON SMITH has worked at SECURITIES SERVICE NETWORK, LLC since May 15, 2018
Disclosure History
RALPH WILSON SMITH has 2 Disclosure Event(s).
Date: July 21, 2017 Category: Customer Dispute Allegations: Suitability, Breach of Regulatory Requirements, Equitable Principles of Trade and Commercial Honor, Breach of Fiduciary Duty, Breach of Contact, Negligence, Gross Negligence, Failure to Supervise, Respondeat Superior and Over-concentration. Damage Amount Requested: $320,000.00 Settlement Amount: $115,000.00 Broker Comment: AMOUNT REFLECTED UNDER INDIVIDUAL CONTRIBUTION IS AMOUNT THE FA IS REQUIRED TO PAY PURSUANT TO CONTRACT SIGNED BY INDIVIDUAL. THIS AMOUNT MAY BE REDUCED BY ERRORS AND OMISSIONS INSURANCE PENDING A FINAL DETERMINATION BY THE E&O COMMITTEE AS TO COVERAGE.
Date: July 26, 2016 Category: Customer Dispute Allegations: Violations of FINRA Rules and internal policies; Breach of Contract; Breach of Fiduciary Duty; Negligence; Professional Negligence; Suitability; Negligent Supervision07/19/2001-07/29/2016 Damage Amount Requested: $205,000.00 Settlement Amount: $90,000.00 Broker Comment: AMOUNT REFLECTED UNDER INDIVIDUAL CONTRIBUTION IS AMOUNT THE FA IS REQUIRED TO PAY PURSUANT TO CONTRACT SIGNED BY INDIVIDUAL. THIS AMOUNT MAY BE REDUCED BY ERRORS AND OMISSIONS INSURANCE PENDING A FINAL DETERMINATION BY THE E&O COMMITTEE AS TO COVERAGE
More Information
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