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Dempsey Lord Smith, LLC

Date:

April 22, 2022

Type of alert:

FINRA AWC  

Dempsey Lord Smith, LLC recently entered into a FINRA Acceptance, Waiver, and Consent. Dempsey Lord allegedly omitted to tell investors in an offering related to GPB Capital Holdings that the issuer failed to make required filings. Dempsey Lord representatives also allegedly made unsuitable recommendations. The company consented, without confirming or denying the allegations, to a censure, a $70,000 fine, and partial restitution.

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