Our Staff has compiled our research into a database of FINRA Disclosures for Ernest Liddell Smith. Search or filter the database to find more about this broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ernest Liddell Smith | 2205253 | 7 | 12/27/2002 | Customer Dispute | Settled | $102,153.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 11/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 10/25/2002 | Customer Dispute | Settled | $386,106.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 08/06/2002 | Customer Dispute | Settled | $142,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 07/02/2002 | Customer Dispute | Settled | $369,270.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 06/18/2002 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 04/26/2002 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |