John Lord: $140K Complaint Against Dempsey Lord Smith Advisor

Calhoun, Georgia financial advisor John Lord (CRD# 1352023) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Dempsey Lord Smith.

Mr. Lord’s BrokerCheck report discloses two investor complaints. The most recent, filed in March 2024, alleges that as a representative of Dempsey Lord Smith, he breached his fiduciary duty, misrepresented and omitted material facts, breached contract, and acted negligently. The pending complaint alleges damages of $140,000.

An earlier investor complaint, filed in 2023, alleged that as a representative of Dempsey Lord Smith, he breached his fiduciary duty, breached contract, and acted negligently. The complaint reached a settlement of $40,000.

Dempsey Lord Smith’s website includes a profile of Mr. Lord that describes his background and experience, including degrees in aviation management and marketing. Elsewhere, the firm describes its mission to provide independent advisors with the resources they need to serve their clients. “Dempsey Lord Smith, LLC exists to help independent financial advisors succeed in serving the needs of their clients,” it states. “We believe the financial needs of clients are best served by an independent financial advisor who has the objectivity and freedom to fulfill their clients’ needs by choosing the best products and services available.”

According to the Financial Industry Regulatory Authority, John Lord holds 39 years of securities industry experience. Based in Calhoun, Georgia, he has been registered as a broker and an investment advisor with Dempsey Lord Smith since 2007. His registration history includes Wall Street Electronica (Calhoun, Georgia; 2003-2007), Raymond James Financial Services (Calhoun, Georgia and St. Petersburg, Florida; 1990-2003), and Edward Jones & Company (St. Louis, Missouri; 1985-1990). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Municipal Securities Principal Examination, or Series 53; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He holds 30 state licenses. (Information current as of April 14, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.