Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Barbara Jean Borowsky (also known as Baraba Jean Borowsky) [CRD: 2570936, Rome, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Borowsky joined Dempsey Lord Smith LLC on October 15, 2016. Read below for additional information about Borowsky’s disclosures.
Particularly, on December 10, 2023, a Dempsey Lord Smith LLC client filed FINRA Arbitration No. 23-03083 about Barbara Borowsky. Supposedly, Borowsky made an unsuitable recommendation of a high-risk investment. Supposedly, she failed to conduct reasonable due diligence. Because of this, the client allegedly sustained damages on direct investments. As a result, the client requested $100,001 in compensation from Dempsey Lord Smith LLC or Borowsky. Evidently, this arbitration is pending a resolution.
Also, a client of Dempsey Lord Smith LLC contested Barbara Borowsky’s sales practices by filing FINRA Arbitration No. 22-02137. Allegedly, Borowsky misrepresented investments and made unsuitable investment recommendations. It appears that Borowsky caused the client to sustain damages on direct investments. Therefore, Dempsey Lord Smith LLC opted to settle the matter on August 24, 2023, by compensating the client in the amount of $56,000.
In addition, a client of SunTrust Investment Services Inc. contested Barbara Borowsky’s sales practices, according to a complaint dated July 15, 2009. Allegedly, Borowsky made unsuitable recommendations regarding a variable annuity. As a result, the client sought compensation from SunTrust Investment Services Inc. or Borowsky in the amount of $18,303.60 in this matter. The firm denied this complaint.
Additionally, a client of SunTrust Investment Services Inc. contested Barbara Borowsky’s sales practices, according to a complaint. Allegedly, Borowsky misrepresented the interest rate on a SunTrust index-linked certificate of deposit. So, SunTrust Investment Services Inc. opted to settle the matter on February 27, 2009, by compensating the client in the amount of $7,747.
Suffered losses because of any sales practice violation by financial advisor / securities broker Barbara Borowsky? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors in the country, works on a contingency fee basis, and advances all costs. Borowsky and brokerage firms Borowsky worked for deny accusations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com