Business Services Industry
Dublin, Ohio, stock broker faces fraud charges.
Knight Ridder/Tribune Business News, August, 2004
By Phil Porter, The Columbus Dispatch, Ohio Knight Ridder/Tribune Business News
Aug. 14--A Dublin stock broker who specialized in small bank stocks has been charged with fraud by state and federal regulators.
Bradley T. Smith, 56, who heads five Dublin companies, raised $3.3 million from 87 investors in six states since 2002, but most of the money went to pay for Smith's personal expenses, the Ohio Division of Securities and the U.S. Securities and Exchange Commission charged in federal court Wednesday.
Smith denied the charges yesterday.
U.S. Judge Gregory Frost issued a temporary restraining order to stop Smith from soliciting future investments and to freeze investor assets.
Eighty of Smith's investors are in Ohio,...
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