The Soreide Law Group, (888) 760-6552, obtained this summation of information located on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2014.”
Jack Richard Kelly (CRD #1994768, Registered Principal, Millington, Tennessee)
was barred by FINRA for allegedly converting $85,000 from his clients. FINRA's findings said a client gave Jack Kelly checks totaling $40,000 that were to be invested in a fund which Kelly had said would provide 7 percent interest.
The $40,000 came from a fund that was to provide for the client's disabled sister. Rather than invest the $40,000 in the account in which Kelly promised a high-yield, Kelly converted the funds for his own personal use.
Additionally, FINRA's findings stated that an elderly client gave Kelly $45,000 to invest in a fund that Kelly had represented would also produce 7 percent interest. Kelly converted the funds from the client to his own personal use, instead of investing the $45,000 from the client.
(FINRA Case #2013037708301)
Jack Richard Kelly was previously registered with the following FINRA firm(s):
PFS INVESTMENTS INC. (CRD# 10111) - WATERLOO, IA
12/1989 - 07/2013
The summation of information available on FINRA's website ends here.
Soreide Law Group, represents clients nationwide. For a free consultation with an attorney call (888) 760-6552.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com