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 |
|---|---|---|---|---|---|---|---|---|
| Carl Joseph Smith | 2490551 | 4 | 02/05/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Carl Joseph Smith | 2490551 | 4 | 03/08/2016 | Customer Dispute | Settled | $185,036.00 | $0.00 | See FINRA Report |
| Carl Joseph Smith | 2490551 | 4 | 10/26/2000 | Customer Dispute | Closed-No Action | $273,907.00 | $0.00 | See FINRA Report |
| Carl Joseph Smith | 2490551 | 4 | 12/23/1999 | Customer Dispute | Denied | $110,800.00 | $0.00 | See FINRA Report |