Liam O’Keefe, Fraud Advisors Investigation

FINRA has barred Liam Gerald O’Keefee alleging unauthorized trading, misappropriation of funds, and unsuitable recommendations.

As of October 20, 2015, Liam Gerald O’Keefee has been permanently barred by FINRA. O’Keefee consented to the sanctions and to the findings that he did not provide the information and documents requested by FINRA.

During his 16 years in the securities industry, O’Keefee was most recently employed with Triad Advisors in Danbury, Connecticut from April to October, 2015. For the seven years preceding that, he worked at Merrill Lynch, Pierce, Fenner & Smith in Southbury, Connecticut. He was also employed by Wachovia Securities, Prudential Securities, and Oppenheimer and Company.

According to FINRA, O’Keefee was accused of unauthorized trading, unsuitable investment recommendations, misrepresentation, misappropriation of funds and conversion of funds, and failure to obtain proper account documents for the period of December 2012 to March 2015. In this case, damages in the amount of $450,000 were awarded as settlement.

Those people who have used Liam O’Keefee as a financial advisor are encouraged to know their rights and to review the allegations and sanctions against him in his BrokerCheck report. This is a complimentary service provided by FINRA.

If you are concerned that your broker is involved in any unethical behavior as it relates to his/her dealings with you or if you have lost money at the hands of a trusted financial advisor, it is recommended that you seek the services of an experience securities attorney.

At Silver Law Group, our attorneys are leaders in the field of FINRA and securities arbitration. We represent individual and institutional investors across the United States that have lost money at the hands of a trusted financial advisor. Our services are provided on a contingency-fee basis, which means we are only compensated if there is a recovery of losses. For more information, contact us for a complimentary consultation.