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Li Kelly Subject of Investor Dispute

Li Kelly (CRD #: 6115397), a broker formerly registered with HSBC Securities (USA), is involved in an investor dispute, according to her BrokerCheck record, accessed on January 4, 2025. Read on if you have questions about her alleged conduct as a broker.

Investor Dispute

On December 23, 2024, an investor named Li Kelly in a dispute alleging that they lost money on corporate bond investments made in 2019-2020 due to the issuer declaring bankruptcy. The client also alleged that Li Kelly breached her contract.

They seek $100,000 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Li Kelly has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Uniform Combined State Law Examination – Series 66

She previously worked for HSBC Securities (USA) (CRD#:19585) and NI Advisors (CRD#:134502).

Kurta Law Can Help

If you worked with Li Kelly and you 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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