RedFlags, Allegations and Complaints against KATHLEEN E. SMALL
Disclosure #1 for KATHLEEN SMALL
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- Event Date: 2/2/1977
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: Criminal Charges :: Charges: CHARGE-MARIJUANA WITH INTENT TO DISTRIBUTE, FELONY, NOT GUILTY, N/A CHARGE-MARIJUANA POSSESSION, FELONY, NOT GUILTY, N/A
- Charge Type: FELONY
- Disposition: BOTH CARGES A. DISMISSED PRETRIAL, B. 3/17/1978, C. PARTICIPATED IN PRETRIAL INTERVENTION PROGRAM, NOT SENTENCED, CASE DISMISSED, NO PENALTY, SEE PSYCHOLOGIST & PROBATION OFFICER
- Broker Comment: I WAS CHARGED BECAUSE THE SUBSTANCE WAS FOUND IN MY HOUSE IT BELONGED TO MY EX-HUSBAND I WASN’T TRYING TO HIDE THE CHARGE I DIDN’T REALIZE IT WAS A CHARGE BECAUSE I NEVER WENT TO COURT IT WAS DISMISSED
Should I file a FINRA complaint against brokers like KATHLEEN E. SMALL?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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