Thomas KellyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that New York-based broker Thomas Kelly has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kelly (CRD# 2877415).

Thomas Kelly has spent 21 years in the securities industry. His registrations include National Securities Corporation in New York, New York (2008-2018); First Republic Group in New York, New York (1998-2008); Northeast Securities in Mitchelfield, New York (1998); and Nichols Safina Lerner & Company in New York, New York (1997-1998). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 11, 1997, and Series 7 (General Securities Representative Examination), which he obtained on July 22, 1997. He is a registered broker with 25 US states and territories: Arizona, Arkansas, California, Connecticut, the District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Louisiana, Maryland, Minnesota, Nevada, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Washington.

According to his BrokerCheck report, he has received seven customer complaints and two pending customer complaints.

In August 2018 a customer alleged Thomas Kelly, while employed at National Securities Corporation, recommended unsuitable investments, misrepresented and omitted material facts, breached his fiduciary duty, acted negligently, and breached contract. The customer is seeking $750,000 in damages in the pending complaint.

In 2012 a customer alleged Thomas Kelly, while employed at National Securities Corporation, acted negligently, recommended unsuitable investments, and breached his fiduciary duty. The complaint settled for $23,000.

In 2010 a customer alleged Thomas Kelly, while employed at National Securities Corporation, misrepresented material facts, executed unauthorized trades, made unsuitable investment recommendations, charged excessive commissions, breached contract, committed fraud, acted negligently, and breached his fiduciary duty. The complaint settled for $3,500.

In 2009 a customer alleged he, while employed at First Republic Group, charged excessive trades, made false and misleading statements, committed fraud, acted negligently, misrepresented material facts, and breached his fiduciary duty. The complaint settled for $14,000.

In 2006 a customer alleged he, while employed at First Republic Group, recommended unsuitable investments, made excessive trades, and charged excessive commissions. The complaint settled for $88,000.

In 2005 a customer alleged he, while employed at First Republic Group, churned investments and executed unsuitable transactions. The complaint settled for $75,000.

If you have lost money investing with Thomas Kelly, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.