Jeffery Kelly, formerly with Ameriprise Financial Services, Barred from Securities Industry

Have you lost money with financial advisor Jeffery Kelly of Getzville, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffery Joseph Kelly. FINRA barred Kelly from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Kelly after he was alleged to have engaged in conversion or misappropriation of money.

Jeffery Kelly was a financial advisor and registered representative of Ameriprise Financial Services from 1999 to December 2017.  He worked at a branch office in Getzville, New York.  Kelly was also “permitted to resign” by Ameriprise Financial Services.

Brokerage firms like Ameriprise Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York and the greater Buffalo area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Ameriprise Financial Services.

Click to view:  Kelly, Jeffery FINRA AWC

Click to view:  Kelly, Jeffery BrokerCheck 9.12.18

If you lost money with Jeffery Kelly or Ameriprise Financial Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.