Jenna Brown Lawsuit

Jenna Brown Lawsuit | Broker Misconduct

jenna brown lawsuit

Jenna Brown is a Syracuse, New York broker. Jenna Brown is currently registered with Lifemark Securities Corporation and was previously registered with Cadaret Grant & Co. Jenna Brown currently has 2 Brokercheck Disclosures, including a regulatory suspension and civil and administrative penalty imposed by FINRA. The suspension concerns allegations of “forged signatures…without the customers’ knowledge or approval.”

Peiffer Wolf Carr & Kane is currently investigating claims against Jenna Brown, a registered broker at Lifemark Securities in Syracuse, NY.

According to FINRA’s BrokerCheck website for Public Disclosures, Jenna Brown has been the subject of two disclosures. Some of the more notable disclosures are as follows:

2018: Employment Separation After Allegations – Caderet Grant & Co. discharged Brown because “Brown self-executed client signatures to investment advisory agreements in place of obtaining their signature in violation of the firm’s policy and procedures and FINRA Rule 2010.”

2019: Regulatory – Regulatory Suspension of three months and Civil and Administrative Penalty of $5,000 imposed by FINRA. The suspension concerns allegations of “forged signatures…without the customers’ knowledge or approval.”

According to Jenna Brown’s Financial Industry Regulatory Authority Letter of Acceptance, Waiver, and Consent:

Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Jenna A. Brown (“Brown” or “Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against me alleging violations based on the same factual findings described herein.

Forgery of a signature is a violation of FINRA Rule 2010, which requires that associated persons observe high standards of commercial honor and just and equitable principles of trade.

By virtue of the foregoing, Brown violated FINRA Rule 2010

To review Jenna Brown’s Brokercheck report, click here:

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

Jenna Brown has worked at multiple firms over the years, including Lifemark Securities Corporation, Cadaret Grant & Co., Merrill Lynch Pierce Fenner & Smith, LPL Financial, and AXA Advisors. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website,

Jenna Brown Broker | Jenna Brown Lawsuit

Based on our experience, we believe that there are more investors who have been the victim of Jenna Brown’s alleged broker misconduct. If you’ve worked with or invested with Jenna Brown, you should contact Peiffer Wolf Carr & Kane immediately for a FREE Consultation.

Peiffer Wolf Carr & Kane is currently investigating Jenna Brown’s practices, as well as the products she recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation.  585-310-5140

securities fraud in the news


Something Else Troubling Is Going Around: Dubious Investments

Something Weird Is Happening on Wall Street, and Not Just the Stock Sell-Off


Yes. Please use our contact form to request a free case evaluation. Tell us your story, and one of our lawyers will respond to tell you if we think we can help.

We work almost all of our cases under contingent fee arrangements. If we take your case under a contingent fee arrangement, you won’t owe our firm any legal fees unless we are able to recover money for you.

Our contingent fee is either based on a percentage of the amount we recover for our client (which generally ranges from one-third of the recovery up to 40%) or the amount of work we perform on your case, multiplied by our current hourly rates. The percentage we will charge in your case depends on the type of case, when your case resolves, and whether you request us to advance litigation costs (including filing fees, postage, expert witness fees, etc.). Generally, the percentage is higher if we are advancing litigation costs and your case does not resolve early.

In most litigation matters, it is extremely difficult – practically impossible – to predict how long or how many hours will it take to resolve a particular case. Every case is different in terms of the complexity. For instance, a simple breach of contract matter is likely to get resolved significantly faster than a complicated lawsuit involving multiple parties, numerous claims, complex issues of law, and extensive discovery. The other parties’ cooperation, the attorneys’ schedules, as well as the number of other cases on the court’s docket are also the factors.


We handle cases that change lives. Contact us today for a FREE consultation.

Practice Chairs
joe peiffer
Joseph C. Peiffer
Managing Shareholder
Jason J. Kane