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 |
|---|---|---|---|---|---|---|---|---|
| Robert Anthony Nevarez | 4039930 | 1 | 07/30/2021 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Daniel Benjamin Kistler | 6203300 | 1 | 09/22/2020 | Customer Dispute | Settled | $101,000.00 | $0.00 | See FINRA Report |
| Harry Timothy Couch | 4073942 | 3 | 05/02/2017 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 06/19/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 01/21/2015 | Customer Dispute | Settled | $413,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 08/04/2014 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 05/16/2014 | Customer Dispute | Settled | $2,700,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 05/12/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 04/05/2013 | Customer Dispute | Settled | $245,000.00 | $0.00 | See FINRA Report |
| Clarence Edmund Blanton | 1511177 | 1 | 12/28/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |