Our Staff has compiled our research into a database of FINRA Disclosures for Sterling Richard Smith. Search or filter the database to find more about this broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Sterling Richard Smith | 1008425 | 39 | 06/13/1996 | Customer Dispute | Settled | $171,201.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 06/12/1996 | Customer Dispute | Settled | $86,581.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 05/17/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 01/25/1996 | Customer Dispute | Settled | $269,000.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 10/26/1995 | Customer Dispute | Settled | $1,447,090.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 10/24/1995 | Customer Dispute | Settled | $7,850,000.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 10/11/1995 | Customer Dispute | Settled | $617,323.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 09/27/1995 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 09/09/1995 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Sterling Richard Smith | 1008425 | 39 | 08/21/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |