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 |
| Robert Philip Plack | 1727059 | 2 | 01/28/2019 | Customer Dispute | Pending | $89,000.00 | $0.00 | See FINRA Report |