Last Updated: January 2024 (Rome, GA)
Barry Dow Investigation Summary
Here’s what you need to know about Rome, GA, stockbroker Barry Dow:
- Name: Mr. Barry Park Dow
- Current Employer: Dempsey Lord Smith,
- Previous Firms: Sequence Financial Specialists, Anthem Securities
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Barry Dow
- Primary Location: Rome, GA
- CRD 4827935
- Can Barry Dow be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $100,001
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Barry Dow As Your Stockbroker?
In 10/2023 a customer of Depsey Lord Smith filed a FINRA arbitration alleging that Barry Dow failed to conduct reasonable due diligence and made a recommendation of a high risk investment that caused losses of $100,001. This matter is currently pending.
Allegations of Broker Misconduct Against Barry Dow
Customers of Barry Dow have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Triggered unnecessary capital gains tax liability
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Barry Dow, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
