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Colin Kelty Of Cetera Investment Services LLC Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Colin Kelty of Cetera Investment Services LLC?

Colin Kelty

Colin Kelty (CRD #5859007) who is currently registered as a broker and investment adviser with Cetera Investment Services LLC and located in Oakbrook, Illinois, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Investment Services LLC, Colin Kelty was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Colin Kelty Customer Complaints

Colin Kelty has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled by Cetera Investment Services in favor of the investor. The brokerage firm denied another customer complaint and the investor took no further action. There are currently 2 FINRA arbitration proceedings pending against Cetera Investment Services for Colin Kelty’s alleged misconduct.

Allegations Against Colin Kelty

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Failure to liquidate certain securities upon transfer.
  • Unsuitable investment recommendations involving structured products.
  • Misrepresentation of a brokered certificate of deposit.
  • Unsuitable recommendation of a variable annuity contract.

Colin Kelty Red Flags & Your Rights As An Investor

Of course, Colin Kelty did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Colin Kelty at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Colin Kelty has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Colin Kelty

If you have questions about Cetera Investment Services LLC and/or Colin Kelty and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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