Alexandra Smith Investigation
June 2023-St. Petersburg, FL
The FINRA records of Alexandra Smith , a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2 regulatory matters and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
FINRA records disclose that Alexandra Smith was permanently barred from the securities industry by FINRA in 3/2023 for failing to respond to a request for information in connection with a FINRA investigation.
In 9/2021 Smith was discharged from JP Morgan Chase Bank for violating the firm’s policy governing personal finances by making several cash deposits to her personal affiliate bank account under the cash reporting threshold of $10,000.
If you have questions about an account handled by Alexandra Smith, call to learn how you may be entitled to collect damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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