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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Rodger Bolton | 1086678 | 12 | 01/03/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Michael Eckel | 2366817 | 1 | 10/01/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |