Our Staff has compiled our research into a database of FINRA Broker Disclosures for Smith, Moore & Co.. 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 |
|---|---|---|---|---|---|---|---|---|
| Thaddaeus Daniel Allen | 5644772 | 2 | 08/22/2024 | Customer Dispute | Pending | $104,000.00 | $0.00 | See FINRA Report |
| Thaddaeus Daniel Allen | 5644772 | 2 | 02/18/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd William Barnthouse | 6074143 | 1 | 10/15/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robert Philip Plack | 1727059 | 2 | 01/28/2019 | Customer Dispute | Pending | $89,000.00 | $0.00 | See FINRA Report |
| Gregory Howard Bray | 2673259 | 2 | 06/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Fine Rothbarth | 6830585 | 1 | 01/03/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Troy Andrew van Rie | 2247089 | 1 | 12/02/2010 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Gregory Howard Bray | 2673259 | 2 | 08/11/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Harlan Borman | 2982565 | 1 | 08/03/2009 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Kipp Alan Noe | 1796099 | 1 | 02/28/2008 | Customer Dispute | Denied | $5,467.12 | $0.00 | See FINRA Report |