DID JOHN HAYWARD LORD CAUSE YOU INVESTMENT LOSSES?
John Lord Of Dempsey Lord Smith, LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About John Lord of Dempsey Lord Smith, LLC?
John Lord (CRD #1352023) is currently registered with Dempsey Lord Smith, LLC, in Rome, GA, and has been with the firm since March 2007. He is licensed in 29 U.S. states and territories and registered with one Self-Regulatory Organization (FINRA). John has passed two principal/supervisory exams (Series 24 and Series 53), two general industry/product exams (Series 7 and SIE), and two multi-state securities law exams (Series 66 and Series 63). His career has included positions at multiple firms, including Wallstreet Electronica, Inc., and Raymond James Financial Services, showcasing a well-rounded and extensive career in the financial industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
John Lord Customer Complaints and Reviews
John H. Lord has been involved in two customer disputes:
- Settled Dispute (2023): A dispute involving allegations of breach of fiduciary duty, breach of contract, and negligence concerning Direct Investment-DPP & LP Interests was settled for $40,000, with Dempsey Lord Smith, LLC repurchasing the security to resolve the issue. The case was settled without John contributing personally to the settlement.
- Pending Dispute (2024): Currently, there is a pending dispute with allegations including rescission, breach of contract, breach of fiduciary duty, and misrepresentations concerning Direct Investment-DPP & LP Interests. The claimant is seeking $175,000 in damages along with other compensatory measures. The complaint was filed on March 28, 2024, and is pending arbitration.
Allegations Against John Lord
- Breach of Fiduciary Duty: Accusations of failing to act in the best interests of clients, not fulfilling the duty of good faith and fair dealing.
- Breach of Contract: Allegations of not adhering to the terms stipulated in customer agreements.
- Negligence and Gross Negligence: Claims of failing to exercise the required care and competence in managing investments.
- Misrepresentation: Accusations include making false statements or omissions concerning the nature or terms of investments.
John Lord Red Flags & Your Rights As An Investor
Of course, John Lord 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 John Lord at Dempsey Lord Smith, LLC on alert to review carefully the activity and performance of their accounts and question whether John Lord 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 John Lord
If you have questions about Dempsey Lord Smith, LLC and/or John Lord 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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