Kelly G. McClain, of Louisville, Kentucky, a stockbroker currently registered with Fifth Third Securities, Inc., has been named in a customer initiated investment related written complaint on April 19, 2017, in which the customer requested $32,000.00 in damages based upon allegations that she failed to properly explain the terms and conditions of exchange traded fund transactions that were effected in the customer’s investment account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure further reveals that on January 25, 2017, a customer initiated investment related arbitration claim involving McClain’s conduct was settled for $10,000.00 in damages based upon allegations that she effected transactions involving unit investment trusts, equities, as well as municipal and corporate debt products that were inappropriate for the customer’s investment portfolio.
Guiliano Law Group
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