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.
FINRA fined securities broker James Craig Etter [CRD: 5576744, Austin, Texas], according to disclosures on FINRA BrokerCheck. It appears that Etter worked for NatAlliance Securities LLC from January 6, 2012, to April 27, 2023. Keep reading to learn more about Etter’s disclosures. FINRA Sanctioned Etter For Undisclosed Private Securities Transactions And Outside Business Activities Evidently, […]
Investors might have sustained losses because of securities broker Ivanhoe Vincent Ffriend (also known as Ivanhoe Vincent Friend, Ivan Ffriend, and Ivan Friend) [CRD: 1013083, New Rochelle, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ivanhoe Ffriend worked for multiple securities firms over the years, including J.P. Turner Company LLC and North Ridge Securities […]
Investors potentially experienced losses due to securities broker Isaiah Thomas Williams Jr. [CRD: 6211219, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. It appears that Isaiah Williams worked for Merrill Lynch Pierce Fenner Smith Incorporated from April 13, 2017, to January 3, 2025. Keep reading to learn more about the disclosures involving this former […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]