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FINRA Broker Disclosures for Sterling Smith Corporation

Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sterling Smith Corporation. Search or filter the database to find more about a specific broker.

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Displaying 10 out of 40 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Martin Javier de Vega Armijo4910151103/25/2008Employment Separation After Allegations$0.00$0.00See FINRA Report
Sterling Richard Smith10084253906/13/1996Customer DisputeSettled$171,201.00$0.00See FINRA Report
Sterling Richard Smith10084253906/12/1996Customer DisputeSettled$86,581.00$0.00See FINRA Report
Sterling Richard Smith10084253905/17/1996Customer DisputeSettled$0.00$0.00See FINRA Report
Sterling Richard Smith10084253901/25/1996Customer DisputeSettled$269,000.00$0.00See FINRA Report
Sterling Richard Smith10084253910/26/1995Customer DisputeSettled$1,447,090.00$0.00See FINRA Report
Sterling Richard Smith10084253910/24/1995Customer DisputeSettled$7,850,000.00$0.00See FINRA Report
Sterling Richard Smith10084253910/11/1995Customer DisputeSettled$617,323.00$0.00See FINRA Report
Sterling Richard Smith10084253909/27/1995Customer DisputeSettled$1,000,000.00$0.00See FINRA Report
Sterling Richard Smith10084253909/09/1995Customer DisputeSettled$14,000.00$0.00See FINRA Report

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