10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: LIAM O’KEEFFE and MERRILL LYNCH


WARNING! Impending Investigation: LIAM O’KEEFFE and MERRILL LYNCH

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WARNING!  Impending Investigation:  LIAM O’KEEFFE and MERRILL LYNCH

Investigation of:  Liam O’Keeffe and Merrill Lynch


Have you lost money with financial advisor Liam O’Keeffe of Southbury, Connecticut?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Liam O’Keeffe. FINRA barred O’Keeffe from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating O’Keeffe regarding allegations that he exercised discretion in an account without written authorization and that he facilitated a loan away from his brokerage firm, Merrill Lynch.


Liam O’Keeffe was a financial advisor and registered representative of Merrill Lynch from January 2008 to March 2015.  He worked at branch offices in Southbury and Danbury, Connecticut.  O’Keeffe is currently the subject of a $1.7 million arbitration claim where the customer alleges conversion, theft, and unsuitable trading.


Brokerage firms like Merrill Lynch 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 and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.




                 Contact Israels & Neuman, PLC for a Free Consultation

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798








Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman


DENVER: (720) 599-3505

SEATTLE: (206) 795-5798

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