| 20-00636 | 10/15/2021 | Claimant(s): Howard Merrill, Howard Merrill Rev Living Tr U/A 2/9/15, Howard R. Merrill TTEE
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation, Thomas Kelly
Respondent Lawyers(s): Fred N. Knopf, Robert M. Bursky
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
|  | Expungement |
| 18-00646 | 02/11/2019 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | |
| 18-00674 | 01/25/2019 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 18-00622 | 01/11/2019 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 18-00657 | 12/10/2018 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | |
| 17-01094 | 12/05/2017 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Coporate Officer
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 14-00147 | 03/04/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Frank Sliwinski
Respondent Lawyers(s): Frank Sliwinski
Arbitrator(s): C. Gregory Ellison, Brenda J. Stovall, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 14-00879 | 02/18/2015 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Timothy Feil
Respondent(s): Charles Grimes
Respondent Lawyers(s): David E. Grimes
Arbitrator(s): Susan K. Hollenbach, Randall S. Strause, Gregory P. Szuter
Hearing Site: Cincinnati, OH
| | Expungement |
| 13-03606 | 11/04/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Thomas Kelly
Respondent Lawyers(s): Andrew Laird
Arbitrator(s): Rafael A. Porrata-Doria, Fred M. Fleisher, David F. Griesing
Hearing Site: Philadelphia, PA
| | |
| 13-00306 | 09/10/2013 | Claimant(s): Bridget Kelly, Thomas Kelly
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Noah Myers, MiddleCove Capital LLC
Respondent Lawyers(s): Noah Lauren Myers, Robbin Meyers
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $98,264 |
