The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jeffery Kelly. According to his publicly available FINRA BrokerCheck report, Jeffery Kelly has been the subject of a FINRA sanction.

Jeffery Kelly was a New York based securities broker. He worked in the securities industry for thirteen years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • American Express Financial Advisors (1999-2001)
  • IDS Life Insurance Company (1999-2001)
  • Ameriprise Financial Services (2006-2018)

The Allegations

Jeffery Kelly was officially sanctioned by FINRA in September 2018. The findings in this matter state that he failed to comply with a FINRA investigation into his possible fund conversion. Due to these allegations, he was barred from acting as a securities broker in any fashion.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Jeffery Kelly, please contact Oakes & Fosher for a free and private consultation.