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.