DID BARRY PARK DOW CAUSE YOU INVESTMENT LOSSES?
About Barry Dow of Dempsey Lord Smith, LLC?
Barry Dow (CRD #4827935) , located in Rome, Georgia, has over 20 years of experience in the securities industry. He is currently registered with Dempsey Lord Smith, LLC, since August 15, 2017, as a registered broker and financial adviser, operating out of Rome, Georgia. Dow holds registrations with FINRA and is licensed in 14 U.S. states. He has passed two General Industry/Product Exams and two Multi-State Securities Law Exams but has not completed any Principal/Supervisory Exams. Previously, he worked with firms such as Anthem Securities, Inc. (2008–2016) and Sequence Financial Specialists LLC (2016–2017).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Barry Dow Customer Complaints and Reviews
Barry Park Dow has one customer dispute on record:
- Filing Date: October 19, 2023
- Complaint: The customer claims that Dow failed to conduct reasonable due diligence and made an unsuitable recommendation involving a high-risk direct investment (DPP and LP interests).
- Alleged Damages: $100,001, including $73,300 in principal damages and $26,701 in punitive damages, alongside additional interest and penalties.
- Status: The case is pending under FINRA Arbitration Case #23-03083.
Allegations Against Barry Dow
The pending customer dispute centers on accusations of inadequate due diligence and unsuitable investment recommendations. Key elements of the claim include:
- Nature of the Investment: High-risk direct investment products involving DPPs and LP interests.
- Financial Impact: Claimed damages include financial loss and additional penalties such as IRS-imposed sanctions and lost opportunity costs.
- Legal Forum: The dispute is filed with FINRA arbitration and awaits adjudication
Barry Dow Red Flags & Your Rights As An Investor
Of course, Barry Dow did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Barry Dow at Dempsey Lord Smith, LLC on alert to review carefully the activity and performance of their accounts and question whether Barry Dow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dempsey Lord Smith, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Dempsey Lord Smith, LLC Due To Barry Dow
If you have questions about Dempsey Lord Smith, LLC and/or Barry Dow and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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