{"id":2721,"date":"2016-08-12T00:00:00","date_gmt":"2016-08-12T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-suspends-christopher-kelly-securities-industry-four-months\/"},"modified":"2018-10-08T12:38:52","modified_gmt":"2018-10-08T16:38:52","slug":"finra-suspends-christopher-kelly-securities-industry-four-months","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-christopher-kelly-securities-industry-four-months\/","title":{"rendered":"FINRA Suspends Christopher Kelly from Securities Industry for Four Months"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-2875\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Suspends-Christopher-Kelly-from-Securities-Industry-for-Four-Months.jpg\" alt=\"FINRA Suspends Christopher Kelly from Securities Industry for Four Months on silverlaw.com\" width=\"521\" height=\"348\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Suspends-Christopher-Kelly-from-Securities-Industry-for-Four-Months.jpg 728w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/FINRA-Suspends-Christopher-Kelly-from-Securities-Industry-for-Four-Months-300x200.jpg 300w\" sizes=\"auto, (max-width: 521px) 100vw, 521px\" \/><\/p>\n<h2>Jupiter, FL broker allegedly borrowed money from customers without disclosing the arrangement or seeking an exception to his member firm\u2019s rule that prohibits it<\/h2>\n<p style=\"text-align: justify;\">After 17 years in the securities industry, Christopher Kelly, a broker in Jupiter, Florida, has been suspended for four months by the FINRA. Silver Law is investigating the allegations against Kelly, who was most recently employed by LPL Financial in Jupiter, Florida from 2005 to 2014. He was also a registered representative for Banc of America Investment Services; Merrill Lynch, Pierce, Fenner and Smith; and Prudential Securities.<\/p>\n<p style=\"text-align: justify;\">FINRA alleges that Kelly borrowed $150,000 from customers, an action that is in violation of his member firm\u2019s borrowing policy. It is also alleged that he did not disclose this borrowing arrangement with his firm or seek an exception to the rule that prohibits this arrangement. Kelly was terminated from LPL Financial soon after these allegations were made.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-christopher-kelly-securities-industry-four-months\/\"  title=\"Continue Reading FINRA Suspends Christopher Kelly from Securities Industry for Four Months\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Jupiter, FL broker allegedly borrowed money from customers without disclosing the arrangement or seeking an exception to his member firm\u2019s rule that prohibits it After 17 years in the securities industry, Christopher Kelly, a broker in Jupiter, Florida, has been suspended for four months by the FINRA. Silver Law is investigating the allegations against Kelly, [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[599],"tags":[325,9,321],"class_list":["post-2721","post","type-post","status-publish","format-standard","hentry","category-securities-arbitration","tag-christopher-kelly","tag-finra","tag-securities-industry"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Suspends Christopher Kelly from Securities Industry for Four Months &#8212; Securities Arbitration Lawyers Blog &#8212; August 12, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article FINRA Suspends Christopher Kelly from Securities Industry for Four Months on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-christopher-kelly-securities-industry-four-months\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Christopher Kelly from Securities Industry for Four Months &#8212; 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