BRIAN J. KELLY

12/16/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Brian J. Kelly Baltimore, MD, Respondent. DECISION Complaint No. E9A2004048S01 Dated: December 16, 2008 Respondent churned a customer's account, made unsuitable recommendations to the customer, and exercised discretion in the customer's account without written authority. Held, findings affirmed

07/12/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN J. KELLY (CRD No. 2270427), Respondent. Disciplinary Proceeding No. E9A2004048801 Hearing Officer - DRP PANEL DECISION July 12, 2007 Respondent is barred from association with any member firm in any capacity for: (1) churning a customer's account, in violation of Section 10(b) of the Securities Exchange Act and Rule 10b-5 promulgated thereunder, NASD

05/31/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. BRIAN J. KELLY CRD No. 2270427 Respondent. Disciplinary Proceeding No. E9A2004048801 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: 1. On or about October 13, 1992, Respondent Brian J, Kelly ("Kelly") first became registered with NASD as a General Securities Representative. 2. From on or about October 1, 1999 to

Reference E9A2004048801data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org