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 |
|---|---|---|---|---|---|---|---|---|
| Jesse Julian Griffin | 1165095 | 6 | 05/12/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 04/05/2013 | Customer Dispute | Settled | $245,000.00 | $0.00 | See FINRA Report |
| Clarence Edmund Blanton | 1511177 | 1 | 12/28/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 03/19/2012 | Customer Dispute | Denied | $47,744.90 | $0.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 11/14/2011 | Customer Dispute | Settled | $201,637.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 03/14/2011 | Customer Dispute | Settled | $685,500.00 | $0.00 | See FINRA Report |
| Rajesh C Jyotishi | 2204676 | 1 | 06/21/2010 | Customer Dispute | Settled | $52,792.70 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 12/21/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 09/09/2009 | Customer Dispute | Closed-No Action | $3,400,000.00 | $0.00 | See FINRA Report |
| Barbara Jean Borowsky | 2570936 | 4 | 08/14/2009 | Customer Dispute | Denied | $18,303.60 | $0.00 | See FINRA Report |