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 |
|---|---|---|---|---|---|---|---|---|
| Arthur J Smithee | 1068632 | 3 | 04/25/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur J Smithee | 1068632 | 3 | 12/18/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur J Smithee | 1068632 | 3 | 11/28/1994 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |