STEVEN JOSEPH SMITH is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 10200 FOREST GREEN BLVD., SUITE 500, LOUISVILLE, KY, 40223.
STEVEN JOSEPH SMITH has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since May 01, 2013
Disclosure History
STEVEN JOSEPH SMITH has 1 Disclosure Event(s).
Date: July 10, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES LIQUIDATIONS EFFECTED IN HIS ACCOUNT WERE COMPLETED WITHOUT PRIOR AUTHORIZATION. CONSEQUENTLY, CLIENT INCURRED AN $11,800 TAXABLE EVENT. Settlement Amount: $6,000.00 Broker Comment: ORIGINALLY WAS DENIED. RAYMOND JAMES AGREED TO CLAIMANT'S REQUEST FOR MEDIATION. THIS CASE SETTLED WITHOUT MEDIATION FOR $6,000.00 TO AVOID FURTHER LEGAL EXPENSES AND COSTS.
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