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 |
|---|---|---|---|---|---|---|---|---|
| Michael Thomas Sullivan | 2710961 | 4 | 06/10/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Falk | 5029776 | 1 | 04/24/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerry Wayne Payne | 821139 | 3 | 01/12/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |