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Dempsey Lord Smith

Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA

Barbara Borowsky-Dempsey Lord Smith Broker- Discloses Customer Dispute-Rome, GA 150 150 ER

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…

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Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Rex Securities Law

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

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