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 |
|---|---|---|---|---|---|---|---|---|
| Ian Fine Rothbarth | 6830585 | 1 | 01/03/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kyle Shaw | 6043778 | 1 | 01/25/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dean Elvin Williams | 1364559 | 1 | 01/01/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |