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Curtis Howard Smiley formerly with Primex Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is Curtis H. Smiley formerly with Primex?

Curtis Smiley (CRD #4443310) who was formerly registered with Primex and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Primex, Curtis Smiley was associated with 5 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Curtis Smiley has his own share of regulatory problems. Just last month he was suspended for failing to comply with FINRAs request for information in connection with an investigation. FINRA Rule 8210, requires all financial advisors registered with FINRA to comply with requests for information and if they don’t comply they get suspended and then if they fail to supply the information request termination of the suspension, within 3 months the financial advisor will be permanently barred from association with any FINRA member in any capacity. Curtis Smiley’s suspension started December 7, 2020 and so, he has until March 7, 2021 to comply with the request and lift the suspension or face a permanent bar from working in the securities industry again.

Primex Broker Misconduct

In his career, Curtis Smiley 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 customer complaints filed against Curtis Smiley’s former employer Primex for investment losses caused by his alleged misconduct are currently pending.

Allegations Against Curtis Smiley

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

  • Customers in 2 separate cases alleged lack of due diligence in connection with the investment recommendation, in a real estate sector.

Curtis Smiley Red Flags & Your Rights As An Investor

Of course, Curtis Smiley 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 Curtis Smiley at Primex on alert to review carefully the activity and performance of their accounts and question whether Curtis Smiley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Primex also raises questions about 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 Primex

If you have questions about Primex and/or Curtis Smiley 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.

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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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