Liam O’Keefe

Date:

October 28, 2015

Type of alert:

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.”

Take the next steps to find out if you have a claim:

Step 1.

Talk to an Experienced Attorney Today

Call and speak to one of our attorneys* for a no-cost consultation to discuss your situation, answer your questions, and help you determine the next steps. This call usually takes about 15 minutes, but we are happy to talk to you as long as you would like!

Step 2.

Quick Review of Your Paperwork

If we think you might have a case, we will need to review a few basic documents. If we determine you have a case, then you will have the option to hire us as your attorneys to pursue it.

Step 3.

Signed Attorney/Client Agreement

If you decide to hire us to pursue your case, we will have you sign an attorney-client agreement so we can begin the process of trying to recover your losses.*

*In the vast majority of cases, our agreement is contingent – meaning you won’t owe us any money unless we recover money for you.


Request a Consultation

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer