Allegations Regarding Dustin Smith

According to FINRA’s BrokerCheck, in December 2025, a customer filed a FINRA arbitration matter against RBC Capital Markets related to advisor Dustin Smith in Naples, Florida.  The Claimant alleged that RBC Capital Markets and Dustin Smith “invested the entirety of the Claimant’s retirement assets in illiquid structured notes”.  The complaint alleged $2 million in losses from these structured notes.

Background on Dustin Smith

Dustin Smith was registered with RBC Capital Markets at a Naples, Florida office between 2015 and January 2025.  Since then, he has been licensed with Citizens Securities. 

Can RBC Capital Markets Be Responsible for Customer Losses?

Pursuant to FINRA Rule 3110, brokerage firms must adequately supervise the activity of their advisors.  RBC Capital Markets could be responsible for investor losses if it failed to reasonably supervise their advisors.

Israels & Neuman Helps Investors Recover Losses in Florida

We represent investors throughout the United States as well as Florida, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Florida in the past, and attorney David Neuman is licensed to practice law in Florida.  If you were a client of Dustin Smith and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Smith’s BrokerCheck Report

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