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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Tucciaone | 2607778 | 1 | 12/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Marshall | 2473742 | 2 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Marie Martin-Yoder | 2079685 | 2 | 05/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |