Thomas Edison Kelly, Jr (CRD #2877415) is a registered FINRA broker who is currently employed with Aegis Capital Corporation (CRD #15007) of New York, NY. His previous employers include National Securities Corporation (CRD #7569, expelled by FINRA in 2009) and First Republic Group, LLC (CRD #39781), also of New York. He has been in the industry since 1997.
Kelly is the subject of three recent customer disputes, with requested damages of $1,191,844. They were filed on 10/01/2018, 08/13/2018 and 07/30/2018, respectively, with similar allegations of unsuitability, excessive trading, misrepresentations, negligence, and breach of contract/fiduciary duty. All three disputes are pending, and no other information is yet available.
Three previous customer disputes that were settled were filed between 12/2008 and 3/2010 echo these allegations. The damages requested totaled $4,715,400, and the cases were settled for $35,500 (the smallest settlement was $3,500). Kelly has a total of 17 disclosures, dating back to 1999.
Did You Invest With Thomas Kelly of Aegis?
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