Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Borowsky (Borowsky), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borowsky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,001.00 on December 10, 2023.
FAILED TO CONDUCT REASONABLE DUE DILIGENCE \, UNSUITABLE RECOMMENDATION OF HIGH-RISK INVESTMENT