Were you the victim of mutual fund losses due to recommendations by LPL Financial LLC broker Michael Kelley (CRD# 1021878)? He has been registered with LPL Financial LLC in Indianapolis, Indiana, and Winter Park, Florida, since 2009, and Charter Advisory Corporation in Indianapolis, Indiana, since 1999. He was registered with LPL Financial LLC in Fort Mills, South Carolina, from 2017 to 2023.
Michael Kelley Customer Complaints
He has been the subject of two customer complaints between 2003 and 2023, one of which was denied, according to his CRD report:
August 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.” The customer is seeking $2,000,000 in damages, and 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, LPL Financial LLC may be liable for investment or other losses suffered by Michael Kelley’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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