DAVID HENRY SMITH

DAVID HENRY SMITH is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 2337 Stonebridge Dr., Bldng F, Flint, MI, 48532.

DAVID HENRY SMITH has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since May 06, 2016

Disclosure History

DAVID HENRY SMITH has 2 Disclosure Event(s).

Date: August 08, 2011
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: DUE TO UNEXPECTED LOW HOUSEHOLD INCOME, I HAD PAYMENT ARRANGEMENTS WITH CREDITOR. WHEN I CALLED FOR A PAYOFF AMOUNT, I WAS NOT TOLD I WAS GIVEN A COMPROMISED AMOUNT FOR $186.61 LESS THAN THE TOTAL OWED. I BECAME AWARE OF THIS AUGUST 18, 2015.

Date: February 25, 2010
Category: Financial
Type: Compromise
Disposition: Discharged
Broker Comment: DUE TO UNEXPECTED LOW HOUSEHOLD INCOME, I HAD PAYMENT ARRANGEMENTS WITH CREDITOR. WHEN I CALLED FOR A PAYOFF AMOUNT, I WAS NOT TOLD I WAS GIVEN A COMPROMISED AMOUNT FOR $157.93 LESS THAN TOTALED OWED. I BECAME AWARE OF THIS AUGUST 18, 2015.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DAVID HENRY SMITH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.