Dempsey Lord Smith LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039284001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE. Dempsey Lord Smith, LLC, Respondent FINRA Member Firm BD No.141238 Jerry Eskel Dempsey, Jr., Respondent General Securities Representative and Principal CRD No. 1869325 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2014039284001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061213901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dempsey Lord Smith, LLC (Respondent) Member Firm CRD No. 141238 Pursuant to FINRA Rule 9216, Respondent Dempsey Lord Smith, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061213901data-portal.finra.org finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.