National investment loss lawyers KlaymanToskes is investigating broker Kelln Small (CRD# 4370485) of First Financial Securities of America.
According to FINRA BrokerCheck, broker Kelln Small has been barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) in connection with FINRA’s investigation into Small’s alleged forgery and falsification of certain customers’ insurance documents.
Investors that suffered losses with broker Kelln Small are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Kelln Small has been barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”) following allegations that she failed to appear for on-the-record testimony requested by FINRA during its investigation into her alleged forgery and falsification of certain customers’ insurance documents. According to FINRA BrokerCheck, Smalls was registered with First Financial Securities of America from 2001 to September 2023 in Austin, TX.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Kelln Small, or have concerns regarding your investment portfolio at First Financial Securities of America, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.