RICHARD WILLIAM KELLEY

RICHARD WILLIAM KELLEY is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 12910 Pierce St., SUITE 300, OMAHA, NE, 68144-1106.

RICHARD WILLIAM KELLEY has worked at RBC CAPITAL MARKETS, LLC since March 02, 1998

Disclosure History

RICHARD WILLIAM KELLEY has 2 Disclosure Event(s).

Date: October 29, 2010
Category: Customer Dispute
Allegations: CUSTOMER CLAIMS HIS BROKER FAILED TO FOLLOW INSTRUCTIONS TO PURCHASE STOCKS AT AN UNSPECIFIED TIME IN EARLY 2009.
Damage Amount Requested: $1,300,000.00

Date: June 12, 1997
Category: Regulatory

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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