The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Stephen Lyndell Smith (CRD#5958481) regarding allegations made regarding the following:
Claim(s) Made Against Stephen Lyndell Smith:
Claim Date: 8/21/2023
“In or around May 2020, Claimant states that the Financial Advisor violated duties through inaction to prevent unauthorized trades in the account of their elderly client with declining health.”
This claim, as of this posting, is currently Pending.
See more information on FINRA’s BrokerCheck site for Stephen Lyndell Smith.