Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Ford Gray Keeler, a financial advisor currently registered with LPL Financial LLC in Grand Junction, Colorado. If you’ve worked with Mr. Keeler and have concerns about your investments, understanding his regulatory history and the red flags in his record is crucial for protecting your financial interests.
Understanding Ford Keeler’s Professional Background
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Ford Gray Keeler has been in the securities industry for over two decades, with a career path that includes multiple firm changes. Currently registered with LPL Financial LLC since June 2025, Keeler’s employment history reveals a pattern of movement between firms:
- LPL Financial LLC (2025 – Present)
- Western International Securities (2017 – 2025)
- Financial West Group (2008 – 2017)
- BancWest Investment Services (2006 – 2008)
- PrimeVest Financial Services (2003 – 2006)
- Wells Fargo (Prior to 2003)
While changing firms isn’t necessarily problematic, frequent moves can sometimes indicate underlying issues that investors should be aware of when evaluating their financial advisor.
Regulatory Disclosures: What Investors Need to Know
According to FINRA BrokerCheck records, Ford Keeler has seven regulatory disclosures on his record. This number significantly exceeds the industry average, as most financial advisors have few or no disclosures throughout their careers. Let’s examine these disclosures in detail:
Customer Disputes and Complaints
| Year | Allegation | Amount Sought | Status |
|---|---|---|---|
| 2024 | Suitability concerns | $200,000 | Pending |
| 2023 | Misrepresentation/Omission | $150,000 | Settled – $75,000 |
| 2023 | Unsuitable investments | $350,000 | Settled – $125,000 |
| 2022 | Breach of fiduciary duty | $500,000 | Settled – $225,000 |
| 2020 | Overconcentration | $175,000 | Denied |
| 2019 | Unsuitable recommendations | $250,000 | Settled – $100,000 |
| 2018 | Failure to supervise | $300,000 | Settled – $90,000 |
Red Flags for Investors
Several concerning patterns emerge from Keeler’s regulatory history that investors should carefully consider:
1. Pattern of Suitability Violations
Multiple complaints allege unsuitable investment recommendations. When advisors recommend investments that don’t align with a client’s risk tolerance, financial situation, or investment objectives, it can lead to significant losses. The recurring nature of these allegations suggests a potential pattern of behavior.
2. Recent Increase in Complaints
The concentration of complaints in recent years (2022-2024) is particularly concerning. Four of the seven disclosures occurred within the last three years, indicating escalating issues rather than isolated incidents from the past.
3. Substantial Settlement Amounts
The settlements total $615,000 across five resolved disputes. These significant payouts suggest that the firms involved recognized potential liability in these cases. While settlements don’t constitute admissions of wrongdoing, the amounts involved warrant investor attention.
4. Breach of Fiduciary Duty Allegation
The 2022 complaint alleging breach of fiduciary duty is particularly serious. Financial advisors have a legal obligation to act in their clients’ best interests. Allegations of breaching this duty suggest potential conflicts of interest or prioritizing personal gain over client welfare.
What This Means for Current and Former Clients
If you’ve worked with Ford Keeler, either at LPL Financial or his previous firms, you should:
- Review your account statements carefully for any unauthorized transactions or unexpected losses
- Examine whether your investments matched your stated risk tolerance and investment objectives
- Document any concerns about misrepresentations or omissions in investment recommendations
- Consider whether your portfolio was properly diversified or overconcentrated in specific sectors
Your Rights as an Investor
Investors who have suffered losses due to misconduct have legal options available. FINRA arbitration provides a forum for investors to seek recovery of investment losses caused by:
- Unsuitable investment recommendations
- Misrepresentation or omission of material facts
- Breach of fiduciary duty
- Overconcentration in risky investments
- Unauthorized trading
Time limits apply to filing claims, so prompt action is essential if you believe you’ve been harmed by investment misconduct.
Why Choose Haselkorn & Thibaut
With over 50 years of combined experience in securities law, Haselkorn & Thibaut has achieved a 98% success rate in helping investors recover losses. The firm has recovered millions of dollars for clients nationwide and operates on a contingency basis – meaning no recovery, no fee.
The firm’s investigation into Ford Keeler focuses on helping investors who may have suffered losses due to unsuitable investment recommendations or other misconduct. Their experienced attorneys understand the complexities of securities law and can evaluate whether you have a viable claim.
Take Action Today
If you invested with Ford Keeler and experienced losses, or if you have concerns about how your investments were handled, don’t wait to seek professional guidance. The attorneys at Haselkorn & Thibaut can review your situation during a free, confidential consultation.
Contact Haselkorn & Thibaut today at 1-888-885-7162 for your free consultation. Their experienced investment fraud attorneys can help you understand your rights and options for recovering investment losses. Remember, there’s no fee unless they recover money for you.
Protecting your financial future requires staying informed about your advisor’s background and taking action when red flags appear. With seven regulatory disclosures and multiple settlements, Ford Keeler’s record raises serious questions that deserve answers. You’ve worked hard for your money – make sure it’s being managed by someone who puts your interests first.
