Goodman & Nekvasil P.A, May Recover Investor Losses – Christopher Breland Kelly (Christopher Kelly) Suspended from Securities Industry and Fired by LPL Financial LLC
From 2005 until Christopher Kelly’s firing in 2014, Christopher Kelly was licensed with LPL Financial LLC. According to FINRA’s records, Christopher Kelly was fired by LPL Financial LLC on March 19, 2014. LPL Financial LLC reported to FINRA that Christopher Kelly was fired after being accused of borrowing money from clients in violation of firm policy.
Subsequent to Christopher Kelly’s firing, FINRA brought a disciplinary action against Christopher Kelly. Christopher Kelly consented to a 4-month suspension and a $10,000 monetary fine. FINRA reports that Christopher Kelly consented to the entry of findings that Christopher Kelly borrowed $150,000 from customers in violation of firm policy. The findings state that Christopher Kelly participated in a private securities transaction when Christopher Kelly sold a $150,000 convertible preferred equity interest in Christopher Kelly’s investment advisory business to an investor.
If you lost any money on investments or loans with Christopher Kelly, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Christopher Kelly.
If you lost money on investments or loans with Christopher Kelly, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against LPL Financial LLC, concerning Christopher Kelly’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on any investments or loans with Christopher Kelly and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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