Close Menu
Free Consultation: 888-976-6111

Lauren Ivester: 6-Figure Complaints Against Dempsey Lord Smith Advisor

Recent investor complaints against Cramerton, North Carolina financial advisor Lauren Ivester (CRD# 5001776) allege that she recommended unsuitable investments, breached her fiduciary duty, and engaged in other forms of misconduct. Records maintained by the Financial Industry Regulatory Authority indicate that she is a broker and an investment advisor with Dempsey Lord Smith.

Ms. Ivester’s BrokerCheck report discloses two investor complaints. The most recent, filed in November 2022, allege that she acted negligently, breached her fiduciary duties, fraudulently misrepresented material facts, and breached contract. The pending complaint alleges damages of $220,000.

A second investor complaint, filed in June 2022, alleges that as a representative of Dempsey Lord Smith, she recommended an unsuitable transaction involving a direct investment. The pending complaint alleges damages of $130,000.

According to the Financial Industry Regulatory Authority, Lauren Ivester holds 13 years of securities industry experience. Based in Cramerton, North Carolina, she has been a broker and an investment advisor with Dempsey Lord Smith since 2019 and 2021, respectively. Her past registrations include Kalos Capital (Belmont, North Carolina; 2018-2019), Morgan Stanley (Charlotte, North Carolina; 2009-2015); Morgan Stanley & Company (Charlotte, North Carolina; 2007-2009), and Morgan Stanley DW (Charlotte, North Carolina; 2005-2007). Her credentials include the passage of five securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, California, Florida, Georgia, Kentucky, Louisiana, Maryland, Michigan, Mississippi, Nevada, New Hampshire, New Jersey, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Virginia, and West Virginia. (Information current as of January 8, 2023.)

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Blake Rose: $25K Complaint Against Pinnacle Strategies Advisor

    Santa Ana, California financial advisor Blake Rose (CRD# 1836176) is involved in an investor complaint alleging his advice resulted in...

    Read More
  • Lawrence Barrett: Oil & Gas Complaint Against Barrett Wealth Advisor

    A new investor complaint against Orange Village, Ohio financial advisor Lawrence Barrett (CRD# 13429) concerns an oil and gas investment....

    Read More
  • Arete Advisor Dennis Thurman: $100K-$500K GWG L Bond Complaint

    Chicago financial advisor Dennis Thurman (CRD# 2342398) allegedly recommended unsuitable GWG L bonds, according to a recent investor complaint. Financial...

    Read More
  • Did B. Riley’s Darren Daye Sell Unsuitable GWG, GPB Investments?

    Las Vegas financial advisor Darren Daye (CRD# 3032746) allegedly recommended unsuitable investments in GWG Holdings and GPB Waste Management, according...

    Read More
  • Previous
  • Next