Unsuitable Investment Recommendations with Moloney Securities Co., Inc. Broker Juliann Smith

Moloney Securities Co.

Erez Law is currently investigating Moloney Securities Co., Inc. broker Juliann Smith (CRD# 1338081) regarding unsuitable investment recommendations. She has been registered with Moloney Securities Co., Inc. in Kansas City, Missouri since 2003. 

Juliann Smith Customer Complaints

She has been the subject of three customer complaints in 2022, one of which was denied, according to her CRD report:

August 2022. “Suitability/negligence. 2017.” The customer is seeking $28,000 in damages and the case is currently pending. The complaint was regarding corporate debt. 

August 2022. “Suitability/negligence. 2020.” The customer is seeking $150,000 in damages and the case is currently pending. The complaint was regarding corporate debt. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Moloney Securities Co., Inc. may be liable for investment or other losses suffered by Juliann Smith’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.