Stoltmann Law Offices is investigating Kelly R. Brantley, who entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Brantley was associated with Summit Brokerage Services and was accused by FINRA of improperly completing firm documents while working at Summit. She also allegedly obtained three signed and dated but blank forms from three firm customers. The firm had written supervisory procedures, which required that all forms be completed prior to a client affixing his or her signature. For this, she was suspended from the industry for one month.
Ms. Brantley was affiliated with Edward Jones in North Port, Florida from May 2001 until June 2012, and Summit Brokerage Services in Nokomis, Florida from May 2012 until July 2014. She is currently registered with FSC Securities Corporation in Nokomis, Florida since July 2014. If you experienced investment losses with Ms. Brantley, please call our securities law firm based in Chicago, Illinois. We sue firms such as Summit Brokerage Services for not reasonably supervising brokers such as Kelly Brantley. The call is free. 312-332-4200.
The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.
PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.