October 28, 2015
FINRA AWC
On October 20, 2015, former Merrill Lynch stockbroker Liam O’Keefe (CRD# 2049144) of Southbury, Connecticut entered into a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement to resolve allegations FINRA made against him regarding violations of securities industry rules.
Liam O’Keefe consented, without admitting or denying the allegations made against him by FINRA, to a permanent ban from associating with any FINRA member firm in any capacity in resolution of FINRA Disciplinary Proceeding No. 20150451669-01. FINRA alleged that “O’Keefe failed to provide documents and information as requested by FINRA staff’s Rule 8210 request letter dated October 1, 2015, in violation of FINRA Rules 8210 and 2010.” FINRA was investigating allegations that “O’Keefe exercised discretion in a customer’s brokerage account without written authorization and facilitate a loan away from the Firm.”
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