Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Li Kelly (Kelly), previously associated with HSBC Securities (USA) Inc., has at least one disclosable event. These events include one customer complaint, 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 $100,000.00 on December 23, 2024.
Claims loss due to corporate bond investment in which issuer declared bankruptcy, claiming breach of contract, breach of fiduciary duty, vicarious liability. Investments were made in 2019-2020.
