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 David Dose | 1747180 | 2 | 05/06/2009 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 04/21/2009 | Customer Dispute | Closed-No Action | $6,595.84 | $0.00 | See FINRA Report |
| Barbara Jean Borowsky | 2570936 | 4 | 02/17/2009 | Customer Dispute | Settled | $7,747.00 | $0.00 | See FINRA Report |
| Brian Joseph Haney | 4869021 | 2 | 12/04/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jerry Eskel Dempsey | 1869325 | 3 | 04/25/2008 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 06/01/2005 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Warren Isiah Harriday | 2785227 | 2 | 02/03/2005 | Customer Dispute | Closed-No Action | $14,004.00 | $0.00 | See FINRA Report |
| Warren Isiah Harriday | 2785227 | 2 | 01/24/2005 | Customer Dispute | Closed-No Action | $14,840.00 | $0.00 | See FINRA Report |
| Michelle Marie Martin-Yoder | 2079685 | 1 | 08/25/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 12/27/2002 | Customer Dispute | Settled | $102,153.00 | $0.00 | See FINRA Report |