6 SEC releases; 5 state regulator orders
James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt Litigation release
SEC · Sep 21, 2021 · Parties as named in the release: James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt
Read the release ↗person name, middle initial differs; common name
Order AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Sep 13, 2019 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · Decision No. 77411 · Parties (regulator's caption): Robert S. Smith (CRD #1145094); Janice Smith
same full name in the order; 46 people with this name in Form D filings; regulator in AZ (not a filing state); middle initial differs
Action filed AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Sep 18, 2018 · Regulator: Arizona Corporation Commission, Securities Division (ACC) ·
eDocket 21692 ↗ · Parties (regulator's caption):
Skytrace, Inc.; Robert S. Smith (CRD #1145094); Janice Smith; Roland B. Woolseysame full name in the order; 46 people with this name in Form D filings; regulator in AZ (not a filing state); middle initial differs
Consent Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Sep 18, 2007 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-05-121-06-CO01 · Parties (regulator's caption): International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith · Order entered with/against: Robert S. Smith
As listed by the regulator:
On September 18, 2007, the Securities Division entered into a Consent Order with Robert S. Smith. The Division previously entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Notice of Intent to Deny Future Registration, Impose Fines and Recover Costs against International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith on January 23, 2007. … Respondent Smith neither admitted nor denied the allegations, but agreed to cease and desist from violations of the registration and anti-fraud provisions of the Securities Act of Washington. Respondent Smith agreed to pay a $5000 fine and agreed to a three year suspension for registration as a securities broker-dealer, securities salesperson, investment adviser, or investment adviser representative.
Order / docket ↗ Regulator's list ↗same full name in the order; 46 people with this name in Form D filings; regulator in WA (not a filing state); middle initial differs
Final Order WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Mar 5, 2007 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-05-121-07-FO01 · Parties (regulator's caption): International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith · Order entered with/against: John F. Riley
As listed by the regulator:
On March 5, 2007, the Securities Division entered a Final Order to Cease and Desist and Recover Costs against John F. Riley. The Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Notice of Intent to Deny Future Registration, Impose Fines and Recover Costs against International Global Position, Inc., FyBX Corporation, John F. Riley and Robert S. Smith on January 23, 2007. … The Securities Division ordered the Respondent to cease and desist from violating the Securities Act of Washington and imposed a fine of $10,000.
Order / docket ↗ Regulator's list ↗same full name in the order; 46 people with this name in Form D filings; regulator in WA (not a filing state); middle initial differs; named in the regulator's case caption but not in the entry sentence stating who the order was entered with/against
Statement of Charges WA · Washington State Department of Financial Institutions, Securities Division (DFI)
Order date Jan 23, 2007 · Regulator: Washington State Department of Financial Institutions, Securities Division (DFI) · S-05-121-06-SC01 · Parties (regulator's caption): International Global Positioning, Inc.; FyBX Corporation; John F. Riley; and Robert S. Smith · Order entered with/against: International Global Positioning, Inc. (“IGP”); FyBX Corporation (“FyBX”); John F. Riley (“Riley”); and Robert S. Smith
As listed by the regulator:
On January 23, 2007, the Securities Division entered a Statement of Charges and Notice of Intent to Enter Order to Cease and Desist and Notice of Intent to Deny Future Registration, Impose Fines and Recover Costs against International Global Positioning, Inc. (“IGP”); FyBX Corporation (“FyBX”); John F. Riley (“Riley”); and Robert S. Smith (“Smith”).
Order / docket ↗ Regulator's list ↗same full name in the order; 46 people with this name in Form D filings; regulator in WA (not a filing state); middle initial differs
Global Telelink Services, Inc., Global Contact Corporation, and Robert Smith III Litigation release
SEC · Aug 28, 2003 · Parties as named in the release: Global Telelink Services, Inc., Global Contact Corporation, and Robert Smith III
Read the release ↗same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named
Global Telelink Services, Inc., Global Contact Corporation and Robert Smith III Litigation release
SEC · Mar 9, 2001 · Parties as named in the release: Global Telelink Services, Inc., Global Contact Corporation and Robert Smith III
Read the release ↗same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named
Robert J. Smith Administrative proceeding
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Robert J. Smith Administrative proceeding
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named; middle initial differs
Robert J. Smith Administrative proceeding
same full name in the release title; 46 people with this name in Form D filings; the person's filing state is not named; middle initial differs
What was searched
SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Robert A. Smith..
State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.