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 |
|---|---|---|---|---|---|---|---|---|
| Kyle Shaw | 6043778 | 1 | 01/25/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julianne Catherine Iwersen-Niemann | 861067 | 1 | 09/22/2006 | Customer Dispute | Settled | $38,993.00 | $0.00 | See FINRA Report |
| Robert Philip Plack | 1727059 | 2 | 04/10/2003 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Arthur George Odell | 1103872 | 1 | 10/31/1989 | Regulatory | Final | $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 |