Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Lowe (Lowe), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lowe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 05, 2023.
The clients allege the investments they purchased in 2015 were unsuitable and misrepresented to the by the representative. They further allege the firm did not supervise the activities of the representative.