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Barry Dow is Facing Allegations of Failure to Conduct Due Diligence

Barry Dow (CRD #: 4827935), a broker registered with Dempsey Lord Smith, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on April 17, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On December 10, 2023, an investor alleged that Barry Dow failed to conduct reasonable due diligence on a high-risk investment. The investor is seeking $100,001. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to perform due diligence may violate this rule. 

Background Information 

Barry Dow has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 14 states and is a registered investment adviser in Georgia. 

During his 18 years of experience, Barry Dow has registered with five firms: 

  • Dempsey Lord Smith (CRD #: 141238) 
  • Retirement Cash Flow Group (CRD #: 285843) 
  • Roger’s Retirement Readiness Alliance (CRD #: 285843) 
  • Sequence Financial Specialists (CRD #: 132915) 
  • Anthem Securities (CRD #: 42420) 

Kurta Law Can Help 

If you have worked with Barry Dow and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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