Broker Michael Patrick O’Neill Fined and Suspended by FINRA for Impersonating a Former Customer

National Securities Corporation broker Michael O’Neill was suspended by FINRA for 20 days and fined $5,000 for impersonating a former customer to assist the customer in obtaining information from a FINRA member firm about the customer’s own account.  This was apparently done with the customer’s approval.  O’Neill has worked at National Securities Corporation since August 2013.  Prior to working at NSC, he was a broker at Brookville Capital Partners.

Silver Law Group represents investors in securities and investment fraud cases.  Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct.  If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.