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 |
|---|---|---|---|---|---|---|---|---|
| Troy Andrew van Rie | 2247089 | 1 | 12/02/2010 | Customer Dispute | Denied | $19,000.00 | $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 |