Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 18, 2017 indicate that Arizona-based First Allied Securities broker/adviser Kelly Richards has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Richards (CRD# 4918409).
Kelly Richards has spent twelve years in the securities industry and has been registered with First Allied Securities in Phoenix, Arizona since 2015. Previous registrations include Raymond James & Associates in Scottsdale, Arizona; First Allied Securities in San Diego, California; Capital Investment Group in Scottsdale, Arizona; Chase Investment Services in Scottsdale, Arizona; and Banc One Securities Corporation in Chicago, Illinois. He is a registered broker and investment adviser with 37 US states and territories.
According to his BrokerCheck report, Kelly Richards has received one pending customer complaint and was discharged from a former employer.
In 2016 a party of customers alleged Kelly Richards, while employed at Capital Investment Group and RG Capital Investment Advisory Services, breached his fiduciary duty, committed fraud, was negligent in his supervisory duties, and misrepresented material facts related to an investment. The customers are seeking $650,000 in damages in the pending complaint.
In 2010 he was terminated by JP Morgan Chase’s affiliate bank following non-securities related allegations involving “overall job performance including violating bank related procedures.”
If you or someone you know has a complaint regarding Kelly Richards, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.