Stephen Andrew Kelly of Gainesville Georgia a stockbroker currently registered with SunTrust Investment Services Inc. is referenced in a customer initiated investment related written complaint on November 7, 2017 where the customer sought $6,140.00 in damages founded on accusations that Kelly was placed in a fixed annuity without the customer’s grant of authorization.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that a customer initiated investment related arbitration claim involving Kelly’s conduct was settled for $19,750.00 in damages supported by allegations that misrepresentations had been made to the customer concerning the risks of mutual funds held in the customer’s account. FINRA Arbitration No. 09-03672 (Mar. 1, 2010).
Kelly has been employed by SunTrust Investment Services Inc. since March 14, 2008.
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