Barbara Borowsky Investigation
June 2023 – Rome, GA
According to publicly available records Barbara Borowsky , a broker with Dempsey, Lord, Smith discloses a pending customer dispute
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
FINRA case #22-02137, filed by a Dempsey, Lord, Smith customer, alleges that Borowsky made unsuitable investment recommendations and misrepresented investments. This case is currently pending. A damage amount is not specified in the pleading.
Borowsky has been employed by Dempsey, Lord, Smith since 10/2016. Before that time she was with Roger’s Retirement Readiness Alliance, Coastal Equities, J.P. Turner & Company, Suntrust Investment and Wachovia Securities.
If you have losses in an account that was handled by Barbara Borowksy contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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