Last Updated: February 2024 (Atlanta, GA)
Kevin Kelly Investigation Summary
Here’s what you need to know about Atlanta, GA, stockbroker Kevin Kelly:
- Name: Mr. Kevin Lawrence Kelly
- Current Employer: Avantax Investment Services
- DBA: Resurgens Investments
- Previous Firms: LPL Financial, Ameriprise Financial Services, IFG Advisory
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Kevin Kelly
- Primary Location: Atlanta, GA
- CRD 2293119
- Can Kevin Kelly be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $284,000
- Pending Customer Dispute Seeks Damages of $473,739
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kevin Kelly As Your Stockbroker?
In 1/2024 a customer of Avantax Investment Services was paid $284,000 to resolve allegations that Kevin Kelly recommended an investment in structured notes that was not suitable.
Another customer of Avantax Investment Services has a similar allegation regarding the recommendation by Kevin Kelly to invest in unsuitable structured notes. That customer also alleges that the investments were unauthorized and is seeking damages of $473,739.
[LEARN MORE]: What is Unauthorized Trading?
[LEARN MORE]: Other Cases Involving Unauthorized Trading
Allegations of Broker Misconduct Against Kevin Kelly
Customers of Kevin Kelly have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in structured notes
- Unauthorized Trading
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: See this for information on our other investigations involving Avantax brokers.
If you have suffered investment losses in an account handled by Kevin Kelly, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
