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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Grant | 2709606 | 3 | 01/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 05/26/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 05/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 12/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 05/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Grant | 2709606 | 3 | 01/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Grant | 2709606 | 3 | 05/30/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |