Our Staff has compiled our research into a database of FINRA Broker Disclosures for Dempsey Lord Smith, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Gal Gali Horev | 5138931 | 1 | 06/07/2024 | Customer Dispute | Pending | $394,486.00 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 14 | 06/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Gaston Gibson | 1694647 | 5 | 04/22/2024 | Customer Dispute | Settled | $106,000.00 | $0.00 | See FINRA Report |
| John Hayward Lord | 1352023 | 2 | 03/28/2024 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| Marvin Gene Strozier | 6636395 | 2 | 01/07/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barbara Jean Borowsky | 2570936 | 4 | 12/10/2023 | Customer Dispute | Pending | $100,001.00 | $0.00 | See FINRA Report |
| Barry Park Dow | 4827935 | 1 | 12/10/2023 | Customer Dispute | Pending | $100,001.00 | $0.00 | See FINRA Report |
| Daniel Benjamin Kistler | 6203300 | 2 | 12/10/2023 | Customer Dispute | Pending | $100,001.00 | $0.00 | See FINRA Report |
| John Hayward Lord | 1352023 | 2 | 07/25/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 14 | 05/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |