Thomas Edison Kelly Jr. (Thomas Kelly) – Customer Disputes Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Thomas Kelly | Goodman & Nekvasil P.A., May Recover Investor Losses
Thomas Edison Kelly Jr. (Thomas Kelly) CRD #2877415
Thomas Kelly is a currently licensed financial advisor/broker with Aegis Capital Corp. Thomas Kelly was a previously licensed financial advisor/broker with National Securities Corporation. According to Thomas Kelly’s BrokerCheck Report, four recent customer disputes have been filed alleging sales practice violations against Thomas Kelly.
Customer Dispute (3/25/2019): Allegations against Thomas Kelly are unauthorized trading and suitability. This customer dispute is currently pending.
Customer Dispute (11/1/2018): Allegations against Thomas Kelly are suitability, unauthorized trading, breach of fiduciary duty, and negligence. This customer dispute is currently pending and seeks $500,000 in damages.
Customer Dispute (10/1/2018): Allegations against Thomas Kelly are misrepresentation, negligence, and breach of fiduciary duty. This customer dispute settled for $30,000. Thomas Kelly paid the entire settlement.
Customer Dispute (8/13/2018): Allegations against Thomas Kelly are unsuitable recommendations, misrepresentation, omissions, breach of fiduciary duty, negligence, and breach of contract. This customer dispute settled for $200,000.
Thomas Kelly’s BrokerCheck Report also reports that six other customer disputes alleging sales practice violations against Thomas Kelly have been settled. The largest settlements were for $88,000 and $75,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost any money on investments with Thomas Kelly, you may be able to recover your losses. If you lost money on investments with Thomas Kelly and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Thomas Kelly’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Thomas Kelly and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 2/10/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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