Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Kennedy (Kennedy), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kennedy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $166,859.00 on November 06, 2020.
The Customer alleges that for a period of a year, the RR failed to follow her instructions to invest her retirement funds, resulting in significant market loss. The Customer is seeking reimbursement for damages.