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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Rodger Bolton | 1086678 | 12 | 07/05/1994 | Customer Dispute | Award / Judgment | $90,000.00 | $5,000.00 | See FINRA Report |
| Michael Thomas Sullivan | 2710961 | 4 | 06/10/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Gaston Gibson | 1694647 | 5 | 06/01/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 11/19/1991 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 07/12/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Falk | 5029776 | 1 | 04/24/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Gaston Gibson | 1694647 | 5 | 10/04/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Marshall | 2473742 | 2 | 10/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 07/20/1988 | Customer Dispute | Settled | $22,138.20 | $0.00 | See FINRA Report |
| Kenneth Rodger Bolton | 1086678 | 12 | 01/01/1988 | Customer Dispute | Settled | $227,606.00 | $0.00 | See FINRA Report |