Our Staff has compiled our research into a database of FINRA Broker Disclosures for T.S. Phillips Investments, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Tania Lashae Smith | 5208859 | 9 | 08/27/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 05/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 04/22/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 04/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 08/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 06/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thompson Sylvester Phillips | 843039 | 2 | 03/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 08/10/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 08/04/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thompson Sylvester Phillips | 843039 | 2 | 04/10/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |