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Michael Kelley Facing Forgery Allegations

Michael Kelley (CRD #: 1021878), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on November 2, 2023. Keep reading if you have questions about his alleged conduct. 

According to allegations filed on August 18, 2023, the daughter and Power of Attorney of a client stated that she believes certain signatures were forged. The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. 

FINRA Rule 2010

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

Background Information 

Michael Kelley has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 24 General Securities Principal Examination

He is a registered broker with 50 states, D.C., Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in Florida, Indiana, Louisiana, Missouri, Ohio, and Texas. 

Michael Kelley has registered with the following firms: 

  • LPL Financial (CRD #: 6413) 
  • Charter Advisory (CRD #: 113390) 
  • Mutual Service Corporation 
  • Titan/Value Equities Group (CRD #: 6359) 
  • WZW Financial Services (CRD #: 5717) 

Kurta Law Can Help

If you worked with Michael Kelley and 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 that 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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