Stifel, Nicolaus & Company, Incorporated Broker Gerard Kelly III Investment Loss Options

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Were you the victim of investment losses with Stifel, Nicolaus & Company, Incorporated broker Gerard Kelly III (CRD# 1563010)? He has been registered with Stifel, Nicolaus & Company, Incorporated in Clearwater, Florida, since 2013. 

Gerard Kelly III Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

September 2022. “Claimants, as beneficiaries of a 2007 trust who were removed as beneficiaries under a 2013 amended trust, allege intentional interference with the right to an inheritance, breach of fiduciary duty, negligence, and breach of contract.” The case is currently pending. 

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Stifel, Nicolaus & Company, Incorporated may be liable for investment or other losses suffered by Gerard Kelly III’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.