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 |
|---|---|---|---|---|---|---|---|---|
| Barbara Jean Borowsky | 2570936 | 4 | 02/17/2009 | Customer Dispute | Settled | $7,747.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 06/01/2005 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 12/27/2002 | Customer Dispute | Settled | $102,153.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 10/25/2002 | Customer Dispute | Settled | $386,106.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 08/06/2002 | Customer Dispute | Settled | $142,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 07/02/2002 | Customer Dispute | Settled | $369,270.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 06/18/2002 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 04/26/2002 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Sharon Leigh Burchett | 1270643 | 1 | 10/01/1999 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 09/20/1994 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |