Investors potentially experienced sales practice violations by securities broker LI Kelly (also known as LI Ding) [CRD: 6115397, Brooklyn, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelly worked for LPL Enterprise LLC from February 18, 2025, to November 12, 2025, HSBC Securities (USA) Inc. from October 10, 2023, to November 1, 2024, and NI Advisors from July 23, 2019, to October 4, 2023. Keep reading to learn more about the disclosures associated with this securities broker.
NI Advisors Investor Accused Kelly Of Unsuitable Advice
Notably, on October 20, 2025, a NI Advisors client filed FINRA Arbitration No. 25-02280 about LI Kelly. Mainly, the client alleged that Kelly made unsuitable recommendations involving corporate bonds that declined in value after the issuer declared bankruptcy. For this reason, the client allegedly sustained damages connected to corporate bonds. Consequently, the client requested $1,950,000 in compensation from NI Advisors or Kelly. BrokerCheck shows that this arbitration is ongoing.
LI Kelly Disclosed Breach Of Fiduciary Duty, Breach Of Contract Allegations By NI Advisors Client
Specifically, a client of NI Advisors contested LI Kelly’s sales practices by filing FINRA Arbitration No. 24-02613 on December 16, 2024. Allegedly, Kelly breached a contract and a fiduciary duty concerning corporate bond investments made between 2019 and 2020 that later lost value after the issuer declared bankruptcy. It appears that Kelly allegedly caused the client to sustain damages. As a result, the client seeks compensation from NI Advisors or Kelly in the amount of $100,000 to $500,000 in this ongoing matter.
Did You Invest Through Securities Broker / Financial Advisor Kelly?
Do you need clarity on any investment losses relating to LI Kelly? You can contact Soreide Law Group online or at (888) 760-6552 and speak to a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Kelly and brokerage firms Kelly worked for deny any allegations of sales practice violations.
