Investors possibly experienced losses because of securities broker Kevin Lawrence Kelly [CRD: 2293119, Asheville, North Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Kelly worked for LPL Financial LLC from October 20, 2010, to June 3, 2021. Here’s more about Kevin Kelly's past employment and allegations of unsuitable investment recommendations.
Particularly, on March 19, 2024, an LPL Financial LLC client filed FINRA Arbitration No. 24-00611 about Kevin Kelly. Supposedly, Kelly made unsuitable recommendations. Because of this, the client allegedly sustained damages in real estate securities. So, the client requested compensation from LPL Financial LLC or Kelly. Evidently, this arbitration is pending a resolution.
Also, a client filed a complaint about Kelly. Supposedly, Kelly gave unsuitable advice. Because of this, the client allegedly sustained damages on structured notes. As a result, on January 17, 2024, Avantax Investment Services Inc. settled this matter by paying the client $284,000 in damages.
Particularly, on December 13, 2023, an Avantax Investment Services Inc. client filed FINRA Arbitration No. 23-03443 about Kelly. Supposedly, Kelly made unsuitable recommendations of structured notes. Therefore, the client requested $473,739.14 in compensation from Avantax Investment Services Inc. or Kelly. Evidently, this arbitration is pending a resolution.
Did you experience losses because of Kevin Kelly? If so, get in touch with Soreide Law Group online or at (888) 760-6552 so you can talk to a securities attorney about your legal options. Soreide Law Group has recovered losses for investors throughout the United States, represents investors through contingency fees, and advances all costs. Kelly and brokerage firms he worked for deny any allegations of sales practice violations.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
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