Articles Tagged with 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.