Articles Tagged with John Lord

Broker John Lord in Cambridge Investment Research, INC. Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lord (Lord), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, 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 November 19, 2025.

Client alleges unsuitability, common law fraud, breach of contract, negligent supervision. Breach of fiduciary duty, 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