John Lord is the Subject of a Six-Figure Dispute

John Lord (CRD #: 1352023), an investor registered with Dempsey Lord Smith, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on May 15, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations

On March 28, 2024, an investor alleged that John Lord breached his written contract pursuant to customer agreements, breached his fiduciary duty, engaged in negligence, and made misrepresentations. The investor is seeking $140,000. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

Investors who believe their losses are the result of broker negligence may be able to recover their funds through FINRA arbitration.

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information 

John Lord 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 
• Series 53 Municipal Securities Principal Examination 
• Series 24 General Securities Representative Examination 

He is a registered broker in 27 states, D.C., and Puerto Rico. He is a registered investment adviser in Georgia. 

During his 39 years of experience, John Lord has registered with four firms: 

• Dempsey Lord Smith (CRD #: 141238) 
• WallStreet Electronica (CRD #: 43896) 
• Raymond James Financial Services (CRD #: 6694) 
• Edward D. Jones (CRD #: 250) 

Kurta Law Can Help 

If you have worked with John Lord 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.