Dempsey Lord Smith

There are Recent Customer Complaints with Broker Mark Reinstein in Firm Dempsey Lord Smith, LLC

July 21, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reinstein (Reinstein), previously associated with Dempsey Lord Smith, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Reinstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $175,000.00 on April 06, 2020.

Reinstein was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; violation of FINRA rules; breach of contract; negligence; and negligent supervision.

There are Recent Customer Complaints with Broker Mark Reinstein in Firm Dempsey Lord Smith, LLC

June 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Reinstein (Reinstein), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reinstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $175,000.00 on April 06, 2020.

Reinstein was a subject of the customer\\u2019s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; violation of FINRA rules; breach of contract; negligence; and negligent supervision.

Broker Jerry Parrish in Dempsey Lord Smith, LLC Firm Has Customer Complaint

November 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Parrish (Parrish), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Parrish recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on July 18, 2022.

UNSUITABLE INVESTMENT

There are Recent Customer Complaints with Broker Andrew Lowe in Firm Dempsey Lord Smith, LLC

October 22, 2025 | by Staff Attorney

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.

Broker Lauren Ivester in Dempsey Lord Smith, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lauren Ivester (Ivester), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ivester recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $220,000.00 on November 29, 2022.

Negligence, breach of fiduciary duties, fraudulent misrepresentation, and breach of contract

Broker Kevin Nevin in Dempsey Lord Smith, LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Nevin (Nevin), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nevin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on April 06, 2023.

Breach of fiduciary duty, negligence and negligent representation

There are Recent Customer Complaints with Broker Daniel Steiner in Firm Dempsey Lord Smith, LLC

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Steiner (Steiner), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on May 10, 2023.

Claimants allege the rr recommended an unsuitable oil & gas investment

There are Recent Customer Complaints with Broker Joseph Roop in Firm Dempsey Lord Smith, LLC

August 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Roop (Roop), previously associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Roop 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 $45,000.00 on July 10, 2025.

Unsuitable Recommendation\, Breach of Fiduciary Duty\, Negligence and Negligent Misrepresentation\, Breach of Contract

There are Recent Customer Complaints with Broker Travis Jennings in Firm Dempsey Lord Smith, LLC

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Jennings (Jennings), previously associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jennings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 29, 2022.

The claimant alleges (i) that Encompass Financial Group, Inc. d/b/a Finance CAPE and Travis S. Jennings solicited and recommended that claimant invest $500,000 in L-Bonds offered by GWG Holdings in October 2020; (ii) that the recommendations were contrary to the claimant’s investment objectives, risk tolerance, and best interest; (iii) that the recommendations were also contrary to the instructions given by claimant; (iv) that Finance CAPE and Jennings breached their fiduciary duty; and (v) that the investments resulted in damages. Finance CAPE and Jennings deny all claims.

Broker Douglas Gow in Dempsey Lord Smith, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Gow (Gow), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,333.33 on September 20, 2022.

In April, 2016, the client purchased $100,000 of GWG Holdings, Inc. The allegations in the statement of claim included unsuitability of the investment for the claimant, breach of fiduciary duty by the firm and, material misrepresentations and omissions of information to the client.