Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brendan Kelly (Kelly), currently associated with Ifp Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kelly recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $450,000.00 on October 02, 2024.
Customer alleges that between 2013 and 2018, representative recommended unsuitable investments in high risk and illiquid convertible notes and business development companies.
