Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Welp (Welp), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Welp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 30, 2025.
CLIENT ALLEGES THAT THE ADVISOR FAILED TO PERMIT ALLOCATION OF 100% EQUITIES IN THE CLIENT\\u2019S MANAGED ACCOUNT IN MARCH 2024, RESULTING IN A SIGNIFICANT LOSS OF POTENTIAL CAPITAL APPRECIATION.