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 |
|---|---|---|---|---|---|---|---|---|
| Duvan Ledbetter Brock | 1632101 | 1 | 07/16/2016 | Customer Dispute | Denied | $27,193.80 | $0.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 03/19/2012 | Customer Dispute | Denied | $47,744.90 | $0.00 | See FINRA Report |
| Barbara Jean Borowsky | 2570936 | 3 | 08/14/2009 | Customer Dispute | Denied | $18,303.60 | $0.00 | See FINRA Report |
| Philip Paul Rusnak | 1030407 | 3 | 12/08/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michelle Marie Martin-Yoder | 2079685 | 2 | 08/25/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 02/04/2002 | Customer Dispute | Denied | $11,789.00 | $0.00 | See FINRA Report |
| Barbara Miner McCormack | 807282 | 1 | 10/31/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |