DID CHAD ROBERT KELLER CAUSE YOU INVESTMENT LOSSES?
Chad Keller Of Sanctuary Securities, INC And Formerly With Stifel, Nicolaus & Company Has A Customer Complaint For Alleged Broker Misconduct
About Chad Keller of Sanctuary Securities, INC and formerly with Stifel, Nicolaus & Company?
Chad Robert Keller (CRD #4631248) is currently associated with Sanctuary Securities, Inc. and Sanctuary Advisors, LLC in Indianapolis, IN, having transitioned there in March 2024. His career has seen numerous shifts across various firms, raising questions about his stability or satisfaction within these roles. Although Keller is licensed in a commendable 26 U.S. states and territories and registered with one Self-Regulatory Organization, his path is not without its pitfalls. Notably, his qualifications include only two general industry/product exams and one multi-state securities law exam. Keller’s movement from firms like Stifel, Nicolaus & Company and City Securities Corporation, coupled with a history of customer dispute are red flags.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Chad Keller Customer Complaint and Reviews
Chad Keller’s professional record includes troubling client feedback, which could deter potential clients:
- Customer Dispute (Closed – No Action)
- Allegations: The client alleged that Keller did not adhere to their instructions concerning the sale of 75 shares of Eli Lilly stock, with 50 shares sold in 2016 and 25 in 2018 against their wishes.
- Outcome: Filed on February 13, 2024, and resolved swiftly by February 15, 2024, the dispute was closed with no action taken. Although the firm denied the allegations, the rapid closure of the complaint might leave unresolved questions about how deeply management looked into the allegations.
- Alleged Damages: $47,500.00
Allegations Against Chad Keller
The allegations against Chad Keller include:
- Unauthorized Transactions: Accused of executing sales of securities contrary to explicit client instructions, which directly questions his compliance with the fiduciary responsibilities expected of financial advisors.
- Potential Breach of Trust: The nature of the complaint underscores concerns regarding Keller’s reliability and the potential risk to clients’ investment objectives due to possible unauthorized actions on their accounts.
These issues, if proven true, would highlight significant risks associated with Keller’s handling of client investments.
Chad Keller Red Flags & Your Rights As An Investor
Of course, Chad Keller did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Chad Keller at Stifel, Nicolaus & Company and Sanctuary Securities, INC on alert to review carefully the activity and performance of their accounts and question whether Chad Keller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Stifel, Nicolaus & Company and Sanctuary Securities, INC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Stifel, Nicolaus & Company, Incorporated Due To Elliott Katz
If you have questions about Stifel, Nicolaus & Company and Sanctuary Securities, INC and/or Chad Keller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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