Our Staff has compiled our research into a database of FINRA Broker Allegations for Eric Steven Smith.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Eric Steven Smith | 2894648 | 3 | 05/26/2021 | Regulatory | Pending | $0.00 | $0.00 | See Allegations |
| Eric Steven Smith | 2894648 | 3 | 08/04/2017 | Regulatory | On Appeal | $0.00 | $0.00 | See Allegations |
| Eric Steven Smith | 2894648 | 3 | 10/12/1983 | Regulatory | Final | $0.00 | $0.00 | See Allegations |