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 |
|---|---|---|---|---|---|---|---|---|
| Jesse Julian Griffin | 1165095 | 6 | 08/04/2014 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 05/16/2014 | Customer Dispute | Settled | $2,700,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 05/12/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jesse Julian Griffin | 1165095 | 6 | 04/05/2013 | Customer Dispute | Settled | $245,000.00 | $0.00 | See FINRA Report |
| Patrick Grant | 2709606 | 3 | 01/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clarence Edmund Blanton | 1511177 | 1 | 12/28/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Mark Maddox | 4162770 | 1 | 05/31/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Grant | 2709606 | 3 | 05/30/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomas Sullivan | 2710961 | 4 | 03/19/2012 | Customer Dispute | Denied | $47,744.90 | $0.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 11/14/2011 | Customer Dispute | Settled | $201,637.00 | $0.00 | See FINRA Report |