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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Liddell Smith | 2205253 | 7 | 08/06/2002 | Customer Dispute | Settled | $142,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 07/02/2002 | Customer Dispute | Settled | $369,270.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 06/18/2002 | Customer Dispute | Settled | $103,000.00 | $0.00 | See FINRA Report |
| Ernest Liddell Smith | 2205253 | 7 | 04/26/2002 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 02/04/2002 | Customer Dispute | Denied | $11,789.00 | $0.00 | See FINRA Report |
| Barbara Miner McCormack | 807282 | 1 | 10/31/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Sharon Leigh Burchett | 1270643 | 1 | 10/01/1999 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Harry Timothy Couch | 4073942 | 3 | 02/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Sean Primo | 3264684 | 1 | 01/28/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 09/20/1994 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |