Were you the victim of Dempsey Lord Smith, LLC broker Gregory Gibson (CRD# 1694647), who is accused of unsuitable investment recommendations? He has been registered with Dempsey Lord Smith, LLC in Greenville, South Carolina, since 2012.
In 1988, he was sanctioned to pay a $250 fine related to failure to detail a public disorderly conduct event on his insurance application.
In 1993, he faced a regulatory sanction to pay a $500 fine for not filling out the proper forms.
Gregory Gibson Customer Complaints
He has been the subject of two customer complaints between 2022 and 2023, according to his CRD report:
April 2023. “Unsuitable recommendations, negligence, misrepresentation and omissions of material facts, and breach of fiduciary duty.” The case is currently pending. The complaint was related to direct investments.
September 2022. “Unsuitable investment recommendations and misrepresenting investments.” The case is currently pending. The complaint was related to direct investments.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Dempsey Lord Smith, LLC may be liable for investment or other losses suffered by Gregory Gibson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
"*" indicates required fields
