Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Kennedy (Kennedy), currently associated with LPL Financial LLC, has at least 2 disclosable events. These events include 2 customer complaints, 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 $100,000.00 on August 24, 2021.
Boilerplate allegations include unsuitability, breach of fiduciary duty, failure to supervise and breach of contract between January 2015 and August 2021.