July 14, 2015-Nokomis, Florida
Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received from a customer signed, but otherwise blank firm documents from three customers of Summit Brokerage Services. Summit had written supervisory procedures expressly requiring that all firm forms be fully completed prior to a client affixing his or her signature.
By virtue of accepting signed forms that were not filled out, Brantley violated FINRA Rule 2010.
Brantley was suspended for on month from association with any FINRA member in any capacity. No monetary sanctions were imposed based on a sworn financial statement submitted by Brantley which demonstrated an inability to pay.
According to FINRA records, Brantley is currently registered with FSC Securities. She was registered with Summit Brokerage Services from 5/2012-7/2014. Prior to that she was registered with Edward Jones in North Port, FL.
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