Dempsey Lord Smith

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

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Kistler (Kistler), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kistler 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

There are Recent Customer Complaints with Broker Barry Dow in Firm Dempsey Lord Smith, LLC

June 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Dow (Dow), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dow 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

There are Recent Customer Complaints with Broker Barbara Borowsky in Firm Dempsey Lord Smith, LLC

June 22, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Gal Horev in Firm Dempsey Lord Smith, LLC

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gal Horev (Horev), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Horev 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 $394,486.00 on June 07, 2024.

Fraud, deceit, misrepresentation, and omissions of material facts

Broker Gregory Gibson in Dempsey Lord Smith, LLC Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Gibson (Gibson), currently associated with Dempsey Lord Smith, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Gibson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 19, 2025.

Unsuitable recommendations, negligence, misrepresentation and omissions of material facts, and breach of fiduciary duty

Broker Ernest Smith in Dempsey Lord Smith, LLC Firm Has Customer Complaint

March 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Smith (Smith), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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

There are Recent Customer Complaints with Broker Joel Goldberg in Firm Dempsey Lord Smith, LLC

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Goldberg (Goldberg), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goldberg 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, ACCOUNTANT MALPRACTICE AND NEGLIGENCE.

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

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jerry Dempsey (Dempsey), currently associated with Dempsey Lord Smith, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dempsey 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

Broker John Lord in Dempsey Lord Smith, LLC Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Rajesh Jyotishi in Firm Dempsey Lord Smith, LLC

February 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 06, 2024.

Unsuitability, misrepresenting investments and breach of fiduciary duty