Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Rix Carlton Smith | 1061442 | 2 | 12/19/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rix Carlton Smith | 1061442 | 2 | 11/16/1999 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |