Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that Maryland-based Kestra Investment Services broker/adviser Ann Fenwick has been the subject of customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Fenwick (CRD# 1535605).
Ann Fenwick has spent 29 years in the securities industry and has been registered with Kestra Investment Services in Towson, Maryland since 2000. Previous registrations include Mony Securities in New York, New York (1991-2000); H. Beck in Bethesda, Maryland (1991); and Cigna Securities in Radnor, Pennsylvania. She has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); Series 62 (Corporate Securities Limited Representative Examination): and Series 6 (Investment Company Products/Variable Contracts Representative Examination).
According to her BrokerCheck report, she has received two customer complaints and one denied complaint.
In 2016 a customer alleged Ann Fenwick, while employed at NFP Advisor Services, recommended an unsuitable mezzanine financing investment. The complaint settled for $55,000.
In 2013 a customer alleged Ann Fenwick, while employed at NFP Securities, recommended unsuitable products and made misrepresentations of material facts. The complaint settled for $140,000.
In 2011 a customer alleged Ann Fenwick, while employed at NFP Securities, acted negligently in connection to the sale of a mezzanine financing investment. The customer sought $100,000 in damages in the complaint, which was denied.
If you or someone you know has lost money investing with Ann Fenwick, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free