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Former Beneficiaries of Trust File Dispute Against Jerry Kelly

Jerry Kelly (CRD #: 1563010), a broker registered with Stifel, Nicolaus & Company, is involved in a pending dispute, according to his BrokerCheck record, accessed on December 13, 2022. Keep reading to learn more about his alleged conduct as a broker.

Pending Dispute

On September 14, 2022, several former beneficiaries of a trust alleged that Jerry Kelly interfered with the right to an inheritance, breached his contract, and engaged in negligence. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What is broker negligence?

Many types of misconduct may qualify as broker negligence, ranging from unsuitable investment recommendations to excessive or unauthorized trading. Investors who have lost money through broker negligence may be able to recover their funds by seeking out FINRA arbitration.

Background Information

Jerry Kelly has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)

Jerry Kelly is a registered broker in 28 states and a registered investment adviser in Florida and Texas.

He has also worked for the following firms:

  • Robert W. Baird & Company (CRD#:8158)
  • Northwestern Mutual Investment Services (CRD#:2881)
  • The Ohio Company (CRD#:628)
  • The Stuart-James Company (CRD#:11691)

Kurta Law Can Help

If you worked with Jerry Kelly and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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