Keith Matthew Smith, of Mountain Top, Pennsylvania, a stockbroker currently registered with Signator Investors, Inc., has been named in a customer initiated investment related written complaint on February 27, 2017, based upon allegations that Smith made unsuitable recommendations to the customer concerning an investment in a fixed annuity.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on September 14, 2010, a customer filed an investment related written complaint involving Smith’s conduct, in which the customer requested $7,288.00 in damages based upon allegations that Smith made misrepresentations to the customer concerning the premium payments which the customer was required to make in order to sustain a life insurance policy. Further, on August 12, 2015, a customer filed an investment related written complaint regarding Smith’s activities, in which the customer requested $12,547.14 in damages based upon allegations that Smith effected an inappropriate life insurance policy for the customer.
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