WARNING! Impending Investigation: SEAN KILLORAN of SCOTIA CAPITAL
Sean Killoran, formerly with Scotia Capital, Subject of FINRA Complaint
Have you lost money with financial advisor Sean Killoran of New York, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Sean William Killoran. FINRA seeks to bar Killoran from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Killoran for allegations that he was involved in mismarking certain securities in a proprietary trading portfolio at his former firm, Scotia Capital.
Sean Killoran was a financial advisor and registered representative of Scotia Capital from July 2013 to June 2016. He worked at a branch office in New York, New York. Killoran was also terminated by Scotia Capital for alleged “unsatisfactory performance”.
Brokerage firms like Scotia Capital have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York City. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past.
Click to view: Killoran, Sean FINRA Complaint
Click to view: Killoran, Sean BrokerCheck 6.22.18
If you lost money with Sean Killoran or Scotia Capital, please CONTACT US at 720-599-3505 for a free evaluation of your case.