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 |
|---|---|---|---|---|---|---|---|---|
| Tammy Beth Parks | 2944658 | 14 | 05/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Gaston Gibson | 1694647 | 5 | 04/17/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Jean Borowsky | 2570936 | 4 | 09/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Gaston Gibson | 1694647 | 5 | 09/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas William Gow | 709653 | 1 | 09/20/2022 | Customer Dispute | Settled | $60,333.30 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 14 | 05/26/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 05/26/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Anthony Nevarez | 4039930 | 1 | 07/30/2021 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Daniel Benjamin Kistler | 6203300 | 2 | 09/22/2020 | Customer Dispute | Settled | $101,000.00 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 14 | 06/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |