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 |
|---|---|---|---|---|---|---|---|---|
| Robert Joseph Smith | 4640693 | 5 | 02/06/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Smith | 4640693 | 5 | 08/03/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph A Weber | 4556745 | 3 | 05/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph A Weber | 4556745 | 3 | 12/08/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roric Eugene Griffith | 2783261 | 4 | 06/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Smith | 4640693 | 5 | 08/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Joseph Smith | 4640693 | 5 | 04/28/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roric Eugene Griffith | 2783261 | 4 | 10/22/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roric Eugene Griffith | 2783261 | 4 | 09/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roric Eugene Griffith | 2783261 | 4 | 07/14/2001 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |