Anthony William Smith (also known as Tony Smith) of New York New York a stockbroker currently registered with Merrill Lynch Pierce Fenner Smith Incorporated is referenced in a customer initiated investment related written complaint that was resolved on May 2, 2017 for $28,340.48 in damages founded on allegations that Smith failed to abide by the customer’s directives in March of 2017 pertaining to over-the-counter equities investments.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on March 19, 2001, a customer filed an investment related complaint regarding Smith’s conduct in which the customer requested $53,000.00 in damages based upon accusations that Smith and the firm failed to remove the restrictions on the customer’s ability to sell NSTK and POF stock held in the customer’s account, precluding the customer from being able to sell those shares and ultimately causing the customer to incur unwarranted losses as a result.
Smith has been employed by Merrill Lynch Pierce Fenner Smith since January 12, 1998.
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