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Kevin Nevin Formerly With Dempsey Lord Smith, LLC and Sandlapper Securities, LLC, Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Kevin Nevin formerly with Dempsey Lord Smith, LLC?

Kevin Nevin

Kevin Nevin (CRD #2460059) who was formerly registered with Dempsey Lord Smith, LLC and located in Edina, Minnesota, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Dempsey Lord Smith, LLC, Kevin Nevin was associated with Sandlapper Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Nevin has been the subject of 3 separate FINRA disciplinary proceedings. First, he was suspended and fined for violations of FINRA rules related to private placement investments. Later, he was suspended for failure to pay an arbitration award. Next, he was permanently barred from any further association with any FINRA member firm in any capacity for failing to cooperate in one of FINRA’s investigation of his alleged misconduct.

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Kevin Nevin Customer Complaints

Kevin Nevin has been the subject of 5 customer complaints that we know about to recover investment losses. Three customer complaints were settled in favor of the investors. DSR Financial Services denied another customer complaint and the customer took no further action. There is currently one arbitration proceeding pending against Sandlapper Securities for Kevin Nevin’s alleged misconduct.

Allegations Against Kevin Nevin

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations.
  • Poor recommendations, poor service, and poor performance of investments recommended.
  • Violation of Minnesota securities act, common-law fraud, misrepresentation, breach of fiduciary duty and negligence related to oil and gas in real estate securities.
  • Financial abuse, unsuitable investment recommendations, violation of Minnesota financial planner statute and Minnesota securities laws, negligence and fraud.
  • Unsuitable investment recommendations and fraud.

Kevin Nevin Red Flags & Your Rights As An Investor

Of course, Kevin Nevin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Nevin at Dempsey Lord Smith, LLC and Sandlapper Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Kevin Nevinhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dempsey Lord Smith, LLC and Sandlapper Securities, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Dempsey Lord Smith, LLC Due To Kevin Nevin

If you have questions about Dempsey Lord Smith, LLC, Sandlapper Securities, LLC and/or Kevin Nevin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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