Duvan Brock Tied To Dempsey Lord Smith Investor Arbitration Claim Over Unsolicited Trade

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.

Brock Accused By Dempsey Lord Smith Client Of Losses On Unsolicited Trade

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.

Duvan Brock Disclosed Misrepresentation Allegations By Ameriprise Client

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.

Were You Impacted By Securities Broker / Financial Advisor Duvan Brock?

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.