Liam OKeeffe – Financial Advisor Liam OKeefe Barred from Securities Industry | Goodman & Nekvasil P.A, May Recover Investor Losses
Liam OKeefe CRD #2049144
Liam O’Keeffe has been licensed with Triad Advisors, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Liam O’Keeffe was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on October 20, 2015. FINRA reports that Liam O’Keeffe consented to the sanction and to the entry of the findings that Liam O’Keeffe failed to provide documents and information as requested by FINRA during the course of an investigation into allegations that Liam O’Keeffe exercised discretion in a customer’s brokerage account without written authorization and facilitated a loan away from the member firm.
FINRA reports that three arbitration claims and/or complaints involving Liam O’Keeffe’s conduct with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Triad Advisors, Inc, and/or Wells Fargo Advisors, LLC were filed, alleging unauthorized trading, unsuitable investment recommendations, misrepresentation, conversion of funds, and/or misappropriation. These claims all settled, with the largest settling for $450,000.
If you lost any money on investments with Liam O’Keeffe you may be able to recover your losses from Triad Advisors, Inc. and/or Merrill Lynch, Pierce, Fenner & Smith Incorporated. This is because Triad Advisors, Inc. and/or Merrill Lynch, Pierce, Fenner & Smith Incorporated had a duty to supervise Liam O’Keeffe.
If you lost money on investments with Liam O’Keeffe and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Triad Advisors, Inc. and/or Merrill Lynch, Pierce, Fenner & Smith Incorporated concerning Liam O’Keeffe’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Liam O’Keeffe and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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