Goodman & Nekvasil P.A., May Recover Investor Losses – Kelly Renae Brantley Fired by Summit Brokerage Services and Edward Jones
From 2001 to 2012 Kelly Brantley was licensed with Edward Jones. From 2012 to 2014 Kelly Brantley was licensed with Summit Brokerage Services. Kelly Brantley was subsequently licensed with FSC Securities Corporation. According to FINRA’s records Kelly Brantley was fired by Edward Jones on May 17, 2012. Edward Jones reported to FINRA that Kelly Brantley provided three clients with and instructed those clients to sign incomplete documents, which Kelly Brantley completed on later dates. Edward Jones also reports that they found that Kelly Brantley had exercised time and price discretion in a client’s account. Subsequent to this firing, Kelly Brantley was also fired by Summit Brokerage Services on July 14, 2014. Summit Brokerage Services reported to FINRA that Kelly Brantley was found with blank documents signed by the client in office files.
Subsequent to Kelly Brantley’s firing by Summit Brokerage Services and Edward Jones, FINRA investigated Kelly Brantley and brought a disciplinary action against Kelly Brantley. Kelly Brantley consented to a 1 month suspension from the securities and investment banking industry. Kelly Brantley also consented to findings that Kelly Brantley received a cautionary action letter from FINRA cautioning Kelly Brantley that Kelly Brantley had improperly completed firm documents while working at a member firm which Kelly Brantley had received from a customer signed, but otherwise blank. According to FINRA, while associated with a member firm, Kelly Brantley obtained three signed and dated, but otherwise blank forms from three customers.
If you lost any money on investments with Kelly Brantley, you may be able to recover your losses from FSC Securities Corporation, Summit Brokerage Services, Inc. and/or Edward Jones. This is because FSC Securities Corporation, Summit Brokerage Services, Inc. and Edward Jones had a duty to supervise Kelly Brantley.
If you lost money on investments with Kelly Brantley and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against FSC Securities Corporation, Summit Brokerage Services, Inc. and/or Edward Jones concerning Kelly Brantley’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq, formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Kelly Brantley and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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