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 | 06/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 04/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 04/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 14 | 12/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronald Lee Marshall | 2473742 | 2 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Grant | 2709606 | 3 | 01/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerry Eskel Dempsey | 1869325 | 3 | 05/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 14 | 05/26/2017 | Judgment / Lien | $0.00 | $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 |
| Brian Joseph Haney | 4869021 | 2 | 04/17/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |