Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lord (Lord), currently associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lord recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 17, 2024.
UNSUITABILITY, BREACH OF FIDUCIARY DUTY, AND NEGLIGENCE
