{"id":657,"date":"2017-03-16T19:24:37","date_gmt":"2017-03-16T23:24:37","guid":{"rendered":"http:\/\/www.elderfinancialfraudattorneys.com\/?p=657"},"modified":"2018-10-04T16:02:16","modified_gmt":"2018-10-04T20:02:16","slug":"finra-fines-suspends-waterford-connecticut-broker-william-stephen-smith","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-fines-suspends-waterford-connecticut-broker-william-stephen-smith\/","title":{"rendered":"FINRA Fines and Suspends Waterford, Connecticut Broker William Stephen Smith"},"content":{"rendered":"

\"FINRA<\/a><\/p>\n

Allegations include non-disclosure, false statements, and being named executor of an elderly client\u2019s estate<\/h2>\n

William Stephen Smith, a broker with nearly 30 years of professional experience, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA). It\u2019s reported that Smith didn\u2019t disclose that he had served as the executor of a client\u2019s estate, and that he received compensation for doing so while working at National Planning Corp. in Waterford, CT.<\/p>\n

Smith\u2019s firm has procedures in place requiring that their registered brokers disclose any outside business activities prior to engaging in them. In addition, the firm prohibits their representatives from acting as executors for client estates. In annual compliance questionnaires, Smith is reported to have lied, stating that he had notified his firm about his outside activities and that he wasn\u2019t named as a beneficiary to any accounts.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Allegations include non-disclosure, false statements, and being named executor of an elderly client\u2019s estate William Stephen Smith, a broker with nearly 30 years of professional experience, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA). It\u2019s reported that Smith didn\u2019t disclose that he had served as the executor of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1102],"tags":[9],"class_list":["post-657","post","type-post","status-publish","format-standard","hentry","category-blog","tag-finra"],"yoast_head":"\nWilliam Stephen Smith : Elder Financial Fraud Alert<\/title>\n<meta name=\"description\" content=\"Allegations against Waterford, CT broker William Stephen Smith include non-disclosure, false statements, and other miscondut related to elder financial fraud.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-fines-suspends-waterford-connecticut-broker-william-stephen-smith\/\" \/>\n<meta name=\"twitter:card\" 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