JENNIFER LEE KELLEY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 180 BATTERY ST STE 300, BURLINGTON, VT, 05401.
JENNIFER LEE KELLEY has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
JENNIFER LEE KELLEY has 3 Disclosure Event(s).
Date: March 01, 2017 Category: Customer Dispute Allegations: Arbitration: Claimant alleges that the FA made unsuitable investment recommendations.Complaint:Client alleged that the FA made misrepresentations that led to unsuitable limited partnership investments. (1/1/2008-9/30/2016) Damage Amount Requested: $350,000.00
Date: March 12, 2016 Category: Customer Dispute Allegations: Client alleges certain mutual funds are unsuitable due to poor performance and client's age. (03/12/2016)
Date: January 29, 2016 Category: Customer Dispute Allegations: Client writes that some of the mutual funds in which she is invested fit a high risk strategy, not the conservative profile quoted by the FA. (01/01/2015-11/30/2015) Broker Comment: Claim denied. Independent analysis indicated commissions were not excessive, portfolio was very well diversified, and suitable based on investment objectives and risk tolerance. Client's losses stemmed from market fluctuation and not due to poor quality or choice of investment.
More Information
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