Timothy David O’Brien – Financial Advisor/Broker Timothy David O’Brien Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Timothy David O’Brien CRD #1182298
Timothy David O’Brien was a previously licensed financial advisor/broker with Feltl & Company. According to FINRA, Timothy David O’Brien was suspended for 45 days and fined $10,000 in November 2020.
According to FINRA Allegations:
In October 2017, O’Brien placed two unauthorized trades in a customer’s account, in violation of FINRA Rule 2010.
According to Timothy O’Brien’s Brokercheck Report: A customer dispute was filed alleging sales practice violations. Allegations include unsuitable investments, over concentration. and misrepresentation resulting in excessive losses. This customer dispute was settled for $350,000.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Timothy David O’Brien and believe 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 concerning Al Westbrook’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 $200 million on behalf of victimized investors. If you lost money on investments with Timothy David O’Brien 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.
Some of the information in this blog post was obtained on 11/24/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.