RedFlag, Allegation and/or Complaint against KELLEY SUE EDWARDS
Disclosure #1 for KELLEY EDWARDS
- Event Date: 8/10/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: Time Frame: January 02, 2020 to May 31, 2020 What were the allegations against the individual? The Trustee alleges her instructions to make investment purchases for the 401 k plan was not followed.
- Damage Amount Requested: $17,500.00
- Settlement Amount: $17,894.03
- Arbitration Docket Number:
- Broker Comment: \In late January 2020, there was a firm policy change regarding the use of certain share classes. The policy change regarded how qualified retirement plans should be treated. To fully understand the new guidance, clarification was needed from management, which created a lag in trades. Once clarification was received, I requested trades be entered however, the trades did not get processed.. This was all happening during the firm’s transition to work-from-home due to COVID and communications between team members, branch management and back office had to be developed to maintain future business communications. The damages claimed by client are primarily for review time and actual lost earnings due to trade errors were less than $1,000
Should I file a FINRA complaint against brokers like KELLEY SUE EDWARDS?
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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Originally posted on November 17, 2022 @ 9:04 pm