Ronald Burton Smith (CRD#2483733)

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Ronald Burton Smith (CRD#2483733) regarding allegations made regarding the following:

Claim(s) Made Against Ronald Burton Smith:

Claim Date: 12/28/2022

“Client alleges: 1. Certain trade instructions were not followed 2. Mr Smith misrepresented account positions 3. Mr Smith ommitted to advise of margin balance and existence of short option positions Per the claim, events occured between MArch and May of 2021. [REDACTED] maintained a discretionary advisory account with PTS Brokerage. [REDACTED] (husband) would often call Mr Smith to transmit unsolicited trade orders. The account was established in 2013 and closed in 2021. PTS Brokerage was unaware of any allegations until recently received correspondence from Mr. Weintraub and FINRA Dispute Resolution.”

This claim is currently Pending with a claim amount of $2,000,000.00 .

See more information on FINRA’s BrokerCheck site for Ronald Burton Smith.

Did you have problems with Ronald Burton Smith?

The Securities Lawyers are researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” If you were a customer of Ronald Burton Smith and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.

If you had a negative experience or issue with Ronald Burton Smith, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Ronald Burton Smith, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.


Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover funds.