Tag Archives: First Heartland Capital Inc.

ProEquities Stockbroker Sanctioned For Misconduct

July 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Matthew Clary Smith, of Spartanburg, South Carolina, a stockbroker formerly registered with ProEquities, Inc., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he utilized customer account documentation in an unauthorized manner to effect investment transactions. […]

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