Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from November 2010 to December 2011.
Recent disclosures reveal concerns about Kelty’s conduct, including allegations of unsuitable investment recommendations and failure to liquidate securities upon transfer.
On May 15, 2024, a client of Cetera Investment Services LLC alleged that Kelty made unsuitable investment recommendations involving structured products, resulting in significant losses. The client sought damages of $1,567,400. This matter is currently pending under FINRA arbitration case number 24-01038.
On July 5, 2023, a client alleged that Kelty failed to liquidate certain securities upon transfer, resulting in damages related to equity securities. The client sought $240,000 in damages. FINRA arbitration case number 23-01865 was resolved on November 1, 2024, with a settlement amount of $85,000. Kelty did not contribute personally to the settlement.
A client of Cetera Investment Services LLC filed a complaint on September 5, 2017, alleging unsuitable investment recommendations related to variable annuities. The client sought damages of $507,069.29. The matter, filed under FINRA arbitration case number 17-02310, was settled on December 31, 2018, for $249,999.99. Kelty’s broker-dealer settled the claim without any admission of wrongdoing.
On July 7, 2014, a client alleged misrepresentation regarding a brokered certificate of deposit (CD). The client sought $10,458.90 in damages, including unspecified interest. The claim was denied on August 13, 2014, with no compensation awarded.
If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. With experience representing investors across the U.S., Soreide Law Group works on contingency, advances costs, and helps clients recover losses from sales practice misconduct when possible. Kelty and the firms he worked for deny accusations of sales practice violations.
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