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 has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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