David Parker Smithey

David Parker Smithey (CRD #4137601, Associated Person, Irvine, California) submitted an Offer of Settlement in which he was suspended from association with any NASD member in any capacity for two years and ordered to pay $525,000, plus interest, in restitution to a public customer. The restitution must be paid before Smithey reassociates with any NASD member following the suspension, or before he requests relief from any statutory disqualification. Without admitting or denying the allegations, Smithey consented to the described sanctions and to the entry of findings that he participated in private securities transactions and failed to provide prior written notice to, and receive approval from, his member firm. The suspension in any capacity is in effect from October 16, 2006 through October 15, 2008. (NASD Case #E0220040502-01)

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Contact Information

The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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