Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Kennedy (Kennedy), currently associated with the Oak Ridge Financial Services Group, INC., 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 pending customer complaint on February 03, 2026.
The Statement of Claim filed does not list a specific date range when the alleged events occurred, simply that it happened over the course of the respondent’s time at HJ Sims, which was May 2011 to September 2024. Claimant is alleging Todd Kennedy and HJ Sims of unsuitable recommendations, breach of fiduciary duty, negligence, and failure to supervise.