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Kelln Small Barred by FINRA

Kelln Small (CRD #: 4370485), a broker formerly registered with First Financial Securities of America, has been barred by FINRA, according to her BrokerCheck record, accessed on November 5, 2024. Keep reading if you want to learn more about her alleged conduct as a broker.

Bar by FINRA

On October 28, 2024, Kelln Small consented to the entry of findings that she allegedly refused to appear for on-the-record testimony requested by FINRA in relation to an investigation into allegations that she forged and falsified certain clients’ insurance documents.

In a Letter of Acceptance, Waiver & Consent (AWC), Kelln Small consented to a permanent bar by FINRA. You can read the full AWC here.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Kelln Small has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

She previously worked for First Financial Securities of America (CRD#:13642).

Kurta Law Can Help

If you worked with Kelln Small and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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