SHAWN D KELLER at CHARLES SCHWAB & CO., INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6921548
SHAWN D KELLER is an Investment Adviser, associated with CHARLES SCHWAB & CO., INC. located at Phoenix, AZ. SHAWN KELLER’s Central Registration Depository (CRD) number is 6921548 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for SHAWN KELLER

    • Event Date: 1/15/2020
    • Disclosure Type: Judgment / Lien
    • Disclosure Resolution:
    • Disclosure Detail :: Judgment/Lien Amount: $1,417.05
    • Judgment/Lien Type: Civil


Should I file a FINRA complaint against brokers like SHAWN D KELLER?

See also  CHARLES BROMWELL MOBUS at BENEDETTO, GARTLAND & COMPANY, INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by SHAWN D KELLER’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  Bridget A Chambers at E*TRADE SECURITIES LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.


Frequently Asked Questions About SHAWN D KELLER

What is SHAWN KELLER's Central Registration Depository (CRD) Number?

6921548

Which firm is SHAWN D KELLER associated with?

CHARLES SCHWAB & CO., INC.

Where is SHAWN KELLER located?

2423 E Lincoln Dr, Phoenix, AZ, 85016-1215

Where can I find more details about SHAWN KELLER's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/5393 to read a detailed report for CHARLES SCHWAB & CO., INC.

Are there any disclosures, allegations or complaints filed against SHAWN D KELLER?

Yes. There are disclosures, allegations, or complaints filed against SHAWN D KELLER. Click here to view all details

Where can I download a detailed FINRA report for SHAWN KELLER?

Click here to download a detailed FINRA report for SHAWN KELLER

Is it safe to do business with SHAWN D KELLER?

We’re not sure. Please research SHAWN KELLER’s disclosures, allegations and complaints before taking a decision

See also  BRETT ANTHONY THOMPSON at RAYMOND JAMES & ASSOCIATES, INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Report Inaccuracy
Disclaimer

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.



 

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account