(877) 410-8172
Home  »  Investor Alerts  »  Dempsey Lord Smith, LLC

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.

Read More

Contact Us If You Believe You Have a Case

"*" indicates required fields

Name*

Please note: We are unable to take cases with losses of less than $50,000.

This field is for validation purposes and should be left unchanged.
(877) 410-8172

© 2024 ChapmanAlbin

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer