Vernon Litigation Group is investigating potential claims on behalf of investors who may have suffered losses related to Todd Hanton Kennedy (CRD# 1002060), a broker currently registered with The Oak Ridge Financial Services Group, Inc. and formerly associated with Herbert J. Sims & Co, Inc. (HJ Sims). According to publicly available records maintained by the Financial Industry Regulatory Authority (FINRA) through BrokerCheck, Kennedy is the subject of a recent customer complaint filed by an investor involving his conduct as a financial advisor.
Todd Hanton Kennedy FINRA Customer Complaint
According to FINRA BrokerCheck, a customer complaint was filed on February 3, 2026, alleging unsuitable investment recommendations, breach of fiduciary duty, negligence, and failure to supervise. The Statement of Claim does not list a specific date range for the alleged events but states that the conduct occurred over the course of Kennedy’s tenure at HJ Sims, which spanned from May 2011 to September 2024.
The complaint names both Todd Hanton Kennedy and Herbert J. Sims & Co, Inc. as respondents. The matter has been filed as a FINRA arbitration claim and remains pending.
Kennedy has been registered in the securities industry for approximately 40 years and has been associated with 13 firms over the course of his career. He is currently registered with The Oak Ridge Financial Services Group, Inc. in Golden Valley, Minnesota, where he also worked prior to joining HJ Sims in 2011.
Customer complaints listed on BrokerCheck are disclosures that investors may wish to review when evaluating a financial advisor’s background. These complaints may involve allegations such as unsuitable investment recommendations, breach of fiduciary duty, negligence, or failure to properly supervise account activity.
Investors Who Worked with Todd Hanton Kennedy
Investors who worked with Todd Hanton Kennedy and experienced financial losses may have options to pursue recovery. Many disputes between investors and brokerage firms are resolved through FINRA arbitration, a process used to handle securities-related claims involving broker misconduct.
Claims involving broker misconduct may include allegations such as unsuitable investment recommendations, breach of fiduciary duty, negligence, failure to supervise, or failure to properly disclose risks associated with investments.
Contact Vernon Litigation Group About Todd Hanton Kennedy Investment Losses
If you invested with Todd Hanton Kennedy and suffered financial losses, you may have the right to pursue recovery through a FINRA arbitration claim.
The securities attorneys at Vernon Litigation Group represent investors nationwide in disputes involving broker misconduct and investment losses.
To discuss your potential claim, contact Vernon Litigation Group at (239) 319-4434 for a consultation.
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