Thomas Edison Kelly Jr. Allegedly Engaged in Misrepresentation, Negligence, & Breach of Fiduciary Duty with Damage Requests of $230K & $750K
Thomas Kelly Jr. allegedly engaged in acts of misrepresentation, negligence, and breach of fiduciary duty with damage requests of $230,000 and $750,000, according to FINRA Reports under review by investor rights attorney Alan Rosca.
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Thomas Kelly Jr.’s alleged acts of misrepresentation, negligence, and breach of fiduciary duty. Investors who believe they may have lost money in activity related to Thomas Kelly Jr.’s alleged acts of misrepresentation, negligence, and breach of fiduciary duty are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
A pending claim filed against Kelly Jr. on October 1, 2018, alleges misrepresentation, negligence, and breach of fiduciary duty with damage requests of $230,000, a pending claim on August 13, 2018 alleges unsuitable recommendations, misrepresentations, omissions, and breach of fiduciary duty and is requesting $750,000, and a pending claiming filed on July 30, 2018 alleges excessive trading, and is requesting damages of $211,844.00, FINRA states.
A claim filed on March 18, 2016 alleged unauthorized trading and was closed with no action, FINRA reports.
Thomas Edison Kelly Jr. is a NY Broker with 21 Years in the Securities Industry with 5 Different Firms, and is Currently Registered with Aegis Capital Corp. in NYC
Thomas Kelly Jr. is a NY broker with 21 years in the securities industry at 5 different firms, and is currently registered with Aegis Capital in New York, NY, FINRA reports.
He has had 17 customer disputes throughout his career, with the biggest settlement being $88K, FINRA states.
Thomas Kelly Jr. also worked for National Securities Corporation in New York, NY from May 7, 2008 until May 7, 2018, and also was registered with First Republic Group, LLC in New York, NY, FINRA notes. First Republic was expelled by FINRA in September of 2009, FINRA notes.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.
Securities Lawyer Investigating
The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Thomas Kelly Jr.’s alleged acts of misrepresentation, negligence, and breach of fiduciary duty. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Thomas Kelly Jr.’s alleged acts of misrepresentation, negligence, and breach of fiduciary duty may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at firstname.lastname@example.org, or through the contact form on this webpage.