Our Staff has compiled our research into a database of FINRA Broker Allegations for Sean Joseph Kelly.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Sean Joseph Kelly | 2294170 | 16 | 11/24/2021 | Customer Dispute | Settled | $160,000.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 10/20/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 09/01/2020 | Customer Dispute | Settled | $255,000.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 07/27/2020 | Customer Dispute | Award / Judgment | $473,972.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 02/24/2020 | Customer Dispute | Award / Judgment | $120,354.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 10/22/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 09/13/2019 | Customer Dispute | Pending | $155,000.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 08/07/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 12/07/2018 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |
| Sean Joseph Kelly | 2294170 | 16 | 11/27/2018 | Customer Dispute | Pending | $5,000.00 | $0.00 | See Allegations |