Investors might have sustained losses due to securities broker John Hayward Lord (also known as John Lord) [CRD: 1352023, Calhoun, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lord joined Dempsey Lord Smith LLC on March 16, 2007. Keep reading to learn more about John Lord's disclosures.
Particularly, on March 28, 2024, a Dempsey Lord Smith LLC client filed FINRA Arbitration No. 24-00651 about Lord. The client alleged breach of fiduciary duty, breach of contract, negligence, omissions, and misrepresentations. Because of this, the client allegedly sustained damages on direct investments. Therefore, the client requested $140,000 in compensation from Dempsey Lord Smith LLC or Lord. Evidently, this arbitration is pending a resolution.
Also, a client of Dempsey Lord Smith LLC contested John Lord's sales practices by filing FINRA Arbitration No. 23-02054. Allegedly, Lord breached a contract and a fiduciary duty. Also, the claim alleged negligence. It appears that Lord caused the client to sustain damages on direct investments. As a result, Dempsey Lord Smith LLC opted to settle the matter on November 9, 2023, by compensating the client in the amount of $40,000.
Suffered losses because of any sales practice violation by financial advisor / securities broker John Lord? If you have, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about your legal options. Soreide Law Group has recovered losses for many clients in the US, works on a contingency fee basis, and advances all costs. Lord and Dempsey Lord Smith deny any allegations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related specifically to Next Level Holdings LLC and its affiliated Yield Wealth investment products. These offerings—including Next Level Notes and Yield Term Deposits—were promoted as high-yield, income-generating investments with purported principal protection. However, significant adverse information has […]
Investors have reportedly disputed the sales practices of securities broker David Robert McCain [CRD: 2039283, Johnson City, Tennessee], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCain worked for Woodbury Financial Services Inc. from September 4, 2009, to January 19, 2024, Osaic Wealth Inc. from January 19, 2024, to August 22, 2024, and […]
Investors apparently complained about securities broker Ian Christopher McElreath [CRD: 4754189, Atlanta, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McElreath worked for Ameritas Investment Company LLC from November 26, 2019, to April 6, 2021; 20/20 Capital Management, Inc from January 17, 2020, to April 20, 2021; Emerson Equity […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com