Were you the victim of Dempsey Lord Smith, LLC broker Barbara Borowsky (CRD# 2570936)? She has been registered with Dempsey Lord Smith, LLC in Rome, Georgia, since 2016.
Previously, she was registered with:
- Retirement Cash Flow Group, LLC in Alpharetta, Georgia, from 2019 to 2020
- Roger’s Retirement Readiness Alliance LLC in Alpharetta, Georgia, from 2016 to 2018
- Coastal Equities, Inc. in Roswell, Georgia, from August to October 2016
- J P Turner & Company Capital Management, LLC in Altanta, Georgia, from 2009 to 2015
Barbara Borowsky Customer Complaints
She has been the subject of three customer complaints between 2009 and 2022, one of which was denied, according to her CRD report. The most recent complaint was regarding:
September 2022. “Unsuitable investment recommendations and misrepresenting investments.” The case is currently pending. The complaint was related to direct investment losses, and it took place while she was registered with Dempsey Lord Smith, LLC.
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 Barbara Borowsky’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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