Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Kelly (Kelly), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Kelly 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 $200,000.00 on April 17, 2025.
January 2025 – Customers allege their advisor failed to follow their instructions to sell their investments to avoid market loss.