The Securities Lawyers at Halling & Cayo, S.C. are interested in talking to customers that believe that they may have potential claims against Charles Alexander Smith (CRD#3242263) related to securities recommended or sold to you. Previously Reported Complaints include:
Claim(s) Made Against Charles Alexander Smith:
Claim Date: 10/3/2025
“The client alleged the advisor promised reimbursement for any losses incurred from a May 2022 mutual fund purchase.”
This claim, as of this posting, is currently Withdrawn with a claim amount of $18,461.65 .
See more information on FINRA’s BrokerCheck site for Charles Alexander Smith.
Were you a client of Charles Alexander Smith?
If you were a customer of Charles Alexander Smith and AMERIPRISE FINANCIAL SERVICES, LLC from Gilbert, AZ and had a similar issue or experience as those described in the above public postings, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video, Warning signs of a bad financial advisor). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like Charles Alexander Smith, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.
The investment recovery lawyers at Halling & Cayo S.C. bring claims on behalf of individual investors or groups of investors who have lost funds. Most of these customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. (See our discussion of FINRA in our video, Is FINRA a good thing?.) As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Charles Alexander Smith and AMERIPRISE FINANCIAL SERVICES, LLC and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .