Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelln Small (Small), previously associated with First Financial Securities of America, Inc., has at least one disclosable event. These events include one tax lien, alleging that Small recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 28, 2024.
Without admitting or denying the findings, Small consented to the sanction and to the entry of findings that she refused to to appear for on-the-record testimony requested by FINRA in connection to its investigation concerning Small’s alleged forgery and falsification of certain customers’ insurance documents.
