Jeffrey Carter Smith Suspended and Fined in Connection with Unauthorized Transactions in Customer Accounts

Jeffrey Carter Smith, a financial professional formerly registered with UBS Financial Services, Inc., was sanctioned by securities regulators in connection with claims that Smith made hundreds of unauthorized transactions. Smith was suspended from the securities industry for nine months and fined $10,000 by the Financial Industry Regulatory Authority (FINRA). Smith serviced three separate Uniform Gifts… Read more »