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.
HAVE YOU LOST MONEY WITH LIAM O’KEEFFE or MERRILL LYNCH?
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