Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maurice Kelley (Kelley), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kelley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 26, 2022.
The customers allege an unsuitable investment strategy, omission of materials facts and that the Financial Advisor was not acting in their best interest from August of 2020 until January of 2021.