Last Updated: December 2023 (Jupiter, Florida)
Kellee Bergendahl Investigation Summary
Here’s what you need to know about Jupiter, FL, stockbroker Kellee Bergendahl:
- Name: Kellee Patricia Bergendahl
- Current Employer: Ascendiant Capital Markets
- Function: Stock Broker/ Financial Advisor
- Aliases: Kellee Bergendahl, Kellee Patricia Kenefick
- Primary Location: Jupiter, Florida
- CRD 5909418
- Can Kellee Bergendahl be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discloses Numerous Currently Outstanding Judgments or Liens: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kellee Bergendahl As Your Stockbroker?
Kellee Bergendahl discloses eleven currently outstanding judgments or liens, including the following:
- $5,482 owed to LA Commercial Group (2007)
- $663 owed to Orange County Treasurer-Tax Collector (2019)
- $21,958 owed to Internal Revenue Service (2020)
- $31,870 owed to Internal Revenue Service (2020)
- $117,075 owed to Internal Revenue Service (2017)
- $18,771 owed to Internal Revenue Service (2018)
- $17,618 owed to State of California taxing authorities (2013)
- $54,515 owed to Premiere Financial Services (2014)
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer. FINRA Rule 2111- suitability
If you have suffered investment losses in an account handled by Kellee Bergendahl, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
