Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Kelley (Kelley), currently associated with LPL Financial LLC, 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 pending customer complaint with a damage request of $2,000,000.00 on August 18, 2023.
Claimant alleges representative sold unsuitable products to Claimant and misrepresented the nature of the products and the fees during the time period 2003-2023.