Signature Estate Securities Tag Archives

Broker Andrew Rome in Signature Estate Securities, LLC Firm Has Customer Complaint

August 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Rome (Rome), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rome 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 $17,332.15 on August 01, 2024.

Breach of Fiduciary Duty (January 1, 2021-through the termination of the advisory relationship July 8, 2024)\, A. Failure to adequately disclose commissions.\, B. The life insurance policy was not in your ‘best interest’; not suitable and can’t afford it.\, C. Made misleading statements / inappropriate sales tactics.\, D. Represented fees would be waived (on the advisory side) and they were not.

There are Recent Customer Complaints with Broker Cole Brownell in Firm Signature Estate Securities, LLC

August 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cole Brownell (Brownell), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brownell 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 $7,500.00 on January 03, 2025.

Former client alleges inappropriate investment advice relating to the purchase of an semi-illiquid security.

Broker Leonard Hirsh in Signature Estate Securities, LLC Firm Has Customer Complaint

April 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leonard Hirsh (Hirsh), currently associated with Signature Estate Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirsh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $600,000.00 on July 02, 2024.

Option trading strategies (collar and call writing) are alleged to been inappropriate and are alleged to have resulted in losses, notwithstanding the fact that any loss was offset by gain elsewhere in the client’s portfolio.

There are Recent Customer Complaints with Broker Jennifer Kim in Firm Signature Estate Securities, LLC

April 14, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Jennifer Kim (Kim), currently employed by Signature Estate Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Kim’s most recent customer complaint alleges that Kim recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a settled customer complaint on February 27, 2025.

Client(s) claim the investment (Structured Notes) was not adequately explained to them. Signed documentation and client notes indicate adequate disclosure and discussion were made.