Last Updated: February 2025 (Forest Hills, NY)
Here’s What You Need to Know About Forest Hills, NY, stockbroker Li Kelly:
- Name: Mr. Li Kelly
- Current Employer: LPL Enterprise, LLC
- Prior Employers:
- HSBC Securities (USA) Inc. (2023 – 2024)
- NI Advisors (2019 – 2023)
- Function: Stockbroker / Financial Advisor
- Primary Location: Forest Hills, NY
- Alias: Li Ding
- CRD#: 6115397
- Can Li Kelly be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of: $100,000 – $500,000
If you’ve sustained damages from Mr. Kelly, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Li Kelly (aka Li Ding) As Your Stockbroker?
A FINRA arbitration has been filed against Li Kelly, alleging losses of $100000-$500,000 due to corporate bond investments made while Kelly was working at NI Advisors between 2019 and 2020. The claim alleges breach of contract, breach of fiduciary duty, and vicarious liability in connection with the investment, which resulted in losses after the issuer declared bankruptcy.
The dispute is currently pending.
Allegations of Broker Misconduct Against Li Kelly
A customer of Li Kelly alleges the following wrongdoing in connection with investment accounts:
- Unsuitable Investment Recommendations – The dispute alleges that Kelly recommended a corporate bond investment that was unsuitable for the investor, violating FINRA Rule 2111 (Suitability Rule).
- Breach of Fiduciary Duty – The claimant contends that Kelly failed to act in their best interest, which may also constitute a violation of SEC’s Regulation Best Interest (Reg BI).
The Financial Industry Regulatory Authority (FINRA) is responsible for regulating stockbrokers and brokerage firms. Brokers must report customer complaints, disputes, and regulatory sanctions. Additionally, they must disclose financial matters such as personal bankruptcies, judgments, and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Li 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.