MICHAEL STERLING SMITH is currently employed as a Broker and/or Investment Adviser at PROEQUITIES, INC. located at 1001 N. LINDSAY STREET, SUITE 102, HIGH POINT, NC, 27262.
MICHAEL STERLING SMITH has worked at PROEQUITIES, INC. since January 06, 2015
Disclosure History
MICHAEL STERLING SMITH has 2 Disclosure Event(s).
Date: February 07, 2011 Category: Regulatory Initiated By: NORTH CAROLINA DEPARTMENT OF INSURANCE Allegations: THE NORTH CAROLINA DEPARTMENT OF INSURANCE FOUND THAT RR SMITH WAS NOT LAWFULLY AUTHORIZED TO USE THE TITLE "CERTIFIED PUBLIC ACCOUNTANT" OR "CPA" IN THE STATE OF NORTH CAROLINA. Resolution: Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $250.00
Date: February 04, 2011 Category: Regulatory Initiated By: NORTH CAROLINA STATE BOARD OF CERTIFIED PUBLIC ACCOUNTANT EXAMINERS Allegations: THE NORTH CAROLINA STATE BOARD OF CERTIFIED PUBLIC ACCOUNTANT EXAMINERS FOUND THAT RR SMITH'S WAS NOT LAWFULLY AUTHORIZED TO USE THE DESIGNATION OF "CPA" OR TITLE OF "CERTIFIED PUBLIC ACCOUNTANT" IN THE STATE OF NORTH CAROLINA. Resolution: Settled SanctionDetails: Sanctions: Cease and Desist
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