Kelton allegedly made investment recommendations that were unsuitable for the client.
The Sonn Law Group is investigating allegations that Richard Kelton made unsuitable investment recommendations. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.
Richard Kelton (CRD#: 2473749) is currently registered as a broker and investment adviser with Raymond James Financial Services in Latham, NY. Previously, he was registered as a broker and investment adviser with Northwestern Mutual Investment Services from 2007 until 2019.
Kelton was recently named in a customer dispute for the first time in his career.
April 2020 Customer Dispute
- Status: Pending
- Allegations: “Client alleges unsuitable investments.”
- Damage Amount Requested: $692,510.00
FINRA Rules require member firms to supervise a broker’s activities while the broker is registered with the firm. Thus, Raymond James Financial Services may be liable for investment or other losses suffered by Kelton’s clients.
Contact Us Today
The Sonn Law Group is currently investigating allegations that Richard Kelton recommended unsuitable investments. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.