Search for: "Kelly Capital, LLC"
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14 Nov 2018, 12:59 pm
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. [read post]
21 Feb 2019, 6:31 am
The SEC alleges that Kelly has engaged in this fraud scheme since 2014, when he was still affiliated with Capital Financial Services. [read post]
5 Nov 2018, 2:35 pm
The SEC alleges that Kelly has engaged in this fraud scheme since 2014, when he was still affiliated with Capital Financial Services. [read post]
31 Oct 2018, 6:35 am
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. [read post]
22 Dec 2018, 8:23 am
From August 2012 until August 2017 Kelly was associated with Capital Financial Services, Inc. [read post]
7 Aug 2013, 6:30 am
Rosenfeld, Kelly B. [read post]
1 Feb 2011, 7:18 am
On February 11, 2009, the Department issued a Desist and Refrain Order against the following individuals and entities, which prohibited them from offering and selling securities: CDNX Fund, LLC; TSC Venture Fund, LLC; Northern Equities, LLC; Jay Barnhardt; Kelly Morgan; and Aaron Barnhardt. [read post]
9 Jul 2015, 5:14 am
In October 2010, former Harris County prosecutor Kelly Siegler appeared at a courthouse press conference in Brenham and declared another prosecutor’s misconduct in a 1992 capital murder case “the worst I’ve ever seen. [read post]
9 May 2012, 7:13 am
Waters Capital LLC ("Waters Capital"), have been charged by the Securities and Exchange Commission ("SEC") with creating bogus private placements - Port Huron Partners LP and Port Huron Partners II LP (collectively "Port Huron Funds") - and bilking investors out of at least $780,000. [read post]
24 Jun 2013, 7:26 am
Kelly Financial Groups LLC, J.G. [read post]
25 Mar 2022, 12:16 pm
Case in PointPublic customer Kelli Fusaro apparently filed a FINRA Arbitration Statement of Claim against FINRA member firm Cambria Capital, LLC. [read post]
12 Aug 2010, 4:06 am
Park 610, LLC, 2010 WL 305201 at *27 (S.D.N.Y., January 26, 2010) (Del. law), Kelly v. [read post]
8 Dec 2020, 3:48 pm
Kelly contributed $385,000 and owned a 5% interest. [read post]
19 Mar 2012, 4:00 am
" Citing Kelly v. [read post]
15 Nov 2011, 2:52 pm
A recent article by Bruce Kelly of the investmentnews.com reports on how nontraded business development companies (BDC’s) are becoming more popular by “Meeting investors’ demand for yield and corporate borrowers’ thirst for capital” and that as a vehicle increasing in popularity, it is also “drawing the attention of securities regulators. [read post]
16 Nov 2018, 4:00 am
Center Street Securities broker Sean Kelly is accused of defrauding 12 investors, including older retirees and individuals with disabilities of at least $1M through his companies Lion’s Share and Associates, Inc., Lion’s Share Financial of East Cobb, and Lionsshare Tax Services, LLC. [read post]
25 May 2009, 4:23 pm
Allied Home Mortgage Capital Corporation, et al. [read post]
2 Dec 2011, 1:27 pm
Kelly notes that FINRA recently fined the former president of Capital Financial Services $10,000 related to the sale of Medical Capital and Provident Royalties. [read post]
24 Apr 2012, 8:45 am
The Statement of Claim alleged damages of over $30 million relating to an alleged "stock loan" Ponzi scheme involving Derivium Capital LLC and Derivium Capital (USA), Inc. [read post]
24 Apr 2012, 8:45 am
The Statement of Claim alleged damages of over $30 million relating to an alleged "stock loan" Ponzi scheme involving Derivium Capital LLC and Derivium Capital (USA), Inc. [read post]
