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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Lee Marshall | 2473742 | 2 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Eskel Dempsey | 1869325 | 3 | 05/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Eskel Dempsey | 1869325 | 3 | 06/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 11/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Timothy Couch | 4073942 | 3 | 02/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Gaston Gibson | 1694647 | 5 | 06/01/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 07/12/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Gaston Gibson | 1694647 | 5 | 10/04/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Marshall | 2473742 | 2 | 10/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |