In April 2010, the Financial Industry Regulatory Authority (FINRA) barred Fair Haven, New Jersey stockbroker Maxwell Baldwin Smith from working for any FINRA-member brokerage firm in any capacity. Smith consented to disciplinary sanction and to the entry of findings that he received more than $10.7 million from customers to invest in health care facilities. FINRA found that the customers made their investment checks payable to, or otherwise transferred their funds to, a brokerage account that Smith controlled and that Smith failed to invest the funds on the customers’ behalf. Instead, Smith and stole approximately $8 million of the funds for his own use and benefit.

EN   ES   PT     

Miami Office
Grand Bay Plaza
2665 S. Bayshore Drive
Penthouse 2B
Miami, FL 33133
Telephone: 786.628.8236

Los Angeles Office
Available by Appointment
2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
Telephone: 424.544.7930

New York City Office
Available by Appointment
14 Wall St, 20th Floor
New York, NY 10005
Telephone: 917.382.5217

West Palm Beach Office
Northbridge Centre
515 N. Flagler Drive, Suite P-300
West Palm Beach, FL 33401
Telephone: 561.475.2887

Detroit Office
41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248.368.0182