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Anthony Smith Of Calton & Associates, Inc. And Formerly With Newport Coast Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Anthony Smith of Calton & Associates, Inc.?

Anthony Smith (CRD #2471757) who is currently registered with Calton & Associates, Inc. and located in Ocala, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Calton & Associates, Inc., Anthony Smith was associated with Newport Coast Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Anthony Smith Customer Complaints

Anthony Smith has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last year to recover investment losses. Both of Anthony Smith’s 2 customer complaints were settled in favor of investors.

Allegations Against Anthony Smith

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment strategy involving real estate securities.
  • Misrepresentation, breach of fiduciary duty, and an unsuitable investment recommendation of a real estate securities.

Anthony Smith Red Flags & Your Rights As An Investor

Of course, Anthony Smith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Anthony Smith at Calton & Associates, Inc. and Newport Coast Securities, Inc.  on alert to review carefully the activity and performance of their accounts and question whether Anthony Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates, Inc. and Newport Coast Securities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Calton & Associates, Inc. Due To Anthony Smith

If you have questions about Calton & Associates, Inc., Newport Coast Securities, Inc. and/or Anthony Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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