Were you the victim of Dempsey Lord Smith, LLC broker John Lord (CRD# 1352023)? He has been registered with Dempsey Lord Smith, LLC in Calhoun, Georgia, since 2007.
John Lord Customer Complaints
He has been the subject of two customer complaints between 2023 and 2024, according to his CRD report:
March 2024. “Rescission, breach of written contract pursuant to the customer agreements, breach of fiduciary duty, negligence, misrepresentations and omissions.” The customer is seeking $140,000 in damages, and the case is currently pending. The complaint was regarding direct investment losses and LP interests.
July 2023. “Breach of Fiduciary Duty Breach of Express/Implied Contract Breach of Duty of Good Faith and Fair Dealing Negligence and/or Gross Negligence.” The customer sought $50,000 in damages, and the case was settled for $40,000. The complaint was regarding direct investment losses and LP interests.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Dempsey Lord Smith, LLC may be liable for investment or other losses suffered by John Lord’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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