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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jerry Eskel Dempsey | 1869325 | 3 | 05/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 11 | 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 | |
| Marvin Gene Strozier | 6636395 | 2 | 09/01/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louis Alan Gary | 4502318 | 1 | 08/30/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Duvan Ledbetter Brock | 1632101 | 1 | 07/16/2016 | Customer Dispute | Denied | $27,193.80 | $0.00 | See FINRA Report |
| Tammy Beth Parks | 2944658 | 11 | 05/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tammy Beth Parks | 2944658 | 11 | 12/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesse Julian Griffin | 1165095 | 6 | 06/19/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |