Did Jack Richard Kelly Cause You Investment Losses?
Jack Richard Kelly, a former Millington, Tennessee-based registered principal employed by Duluth, Georgia-based PFS Investments Inc. submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he converted a total of $85,000 from customers. According to FINRA, a customer gave Mr. Kelly checks totaling $40,000 to be invested in a fund that Mr. Kelly stated would earn 7% interest. The $40,000 in funds was liquidated from a trust account held at Mr. Kelly’s firm that was intended to provide for the customer’s disabled sister. Instead of investing the $40,000 in the purported high-yield investment, Mr. Kelly converted the funds for his personal use. FINRA also found that an elderly customer gave Mr. Kelly a total of $45,000 to be invested in the 7% investment, but once again, Mr. Kelly converted the funds for his personal use. Consequently, Mr. Kelly was prohibited from association with any FINRA member in any capacity.
Tennessee has hundreds of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to transfer cash and/or securities out of your account, that is steal or commit theft and all kinds of other stockbroker misconduct which violates Federal and Tennessee securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
Experienced Attorneys With Securities Account Theft Claims In FINRA Arbitrations Throughout Tennessee and Nationwide.
Are you a Tennessee investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Tennessee stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
By hiring a top rated lawyer like Robert Wayne Pearce with over 40 years of experience with securities account theft claims by practicing securities law on both sides of the table and handling theft cases in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle theft cases—he aggressively represents investors and is one of the best lawyers to recover your securities account losses resulting from theft and all types of stockbroker misconduct in FINRA arbitration proceedings!
At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment theft disputes in FINRA arbitration and mediation proceedings. We also handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Tennessee, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
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Free Initial Consultation With An Experienced Attorney Handling Securities Account Theft Cases Serving Tennessee Residents in FINRA Arbitrations
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle securities account theft cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in securities account related thefts and all kinds of securities law and investment disputes serving Tennessee citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.