In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Investors apparently complained about securities broker Duvan Ledbetter Brock [CRD: 1632101, Calhoun, Georgia], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brock was registered with Dempsey Lord Smith LLC as a securities broker from August 24, 2009, to November 21, 2025, and as a financial advisor from August 26, 2009, to December 31, 2025; he subsequently became registered with Cambridge Investment Research Inc. on November 21, 2025, and Cambridge Investment Research Advisors Inc. on December 1, 2025. Continue reading to learn more about Brock’s disclosures.
Evidently, a Dempsey Lord Smith client filed FINRA Arbitration No. 24-02636 about Duvan Brock. Mainly, the client alleged that Brock engaged in an improper sales practice involving an unsolicited trade. Because of this, the client allegedly sustained damages associated with direct investments. Consequently, on December 4, 2025, Dempsey Lord Smith settled this matter by paying the client $27,500. According to Brock, the client decided to proceed after multiple discussions, and the settlement represented a business decision rather than an admission of fault.
Also, a client of Ameriprise Financial Services contested Brock’s sales practices, according to a complaint dated July 19, 2016. Allegedly, Brock made misrepresentations concerning the terms of a variable universal life insurance policy purchased in February 1998. It appears that Brock allegedly caused the client to sustain damages. As a result, the client sought compensation from Ameriprise Financial Services or Brock in the amount of $27,193.80 in this matter. Ameriprise Financial Services denied the complaint on November 10, 2016.
Do you need guidance on any investment losses relating to Duvan Brock? If so, reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the US. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Brock and brokerage firms Brock worked for deny accusations of sales practice violations.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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