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 |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Haney | 4869021 | 2 | 04/17/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marvin Gene Strozier | 6636395 | 2 | 09/01/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louis Alan Gary | 4502318 | 1 | 08/30/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Stephen Rodgers | 4506611 | 1 | 03/18/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Mark Maddox | 4162770 | 1 | 05/31/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clark Harris Weeks | 5717984 | 1 | 06/21/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael David Dose | 1747180 | 2 | 11/06/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harry Timothy Couch | 4073942 | 3 | 07/21/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Rodger Bolton | 1086678 | 12 | 01/03/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |