Joel Goldberg: Dempsey Advisor Receives Suitability Complaint

Dalton, Georgia financial advisor Joel Goldberg (CRD# 6590746) recently received an investor complaint alleging that he provided unsuitable investment advice. Financial Industry Regulatory Authority records show that he is registered as a broker with Dempsey Lord Smith.

Mr. Goldberg’s BrokerCheck report discloses one investor complaint. Filed in October 2024, it alleges that as a representative of Dempsey Lord Smith, he recommended unsuitable investments, breached his fiduciary duty, engaged in accountant malpractice, and acted negligently. The pending complaint alleges unspecified damages.

Dempsey Lord Smith’s website describes the firm’s mission and services, including wealth management and retirement planning. “As a Registered Investment Advisor we are dedicated to offering you objective financial advice, access to a wide array of investment products, and the highest levels of personal service,” it explains. “Our goal is to form a long-term partnership with you, always acting in your best interest. With more than 100 years of combined experience in financial planning, our management team utilizes sophisticated portfolio modeling technologies to help you reach your financial goals.”

According to the Financial Industry Regulatory Authority, Joel Goldberg holds eight years of securities industry experience. Based in Dalton, Georgia, he has been registered as a broker with Dempsey Lord Smith since 2016. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Direct Participation Programs Representative Examination, or Series 22; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Florida, Georgia, Illinois, Mississippi, Tennessee, and Texas. (Information current as of December 30, 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.