Articles Tagged with Timothy David O’Brien

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FINRA has suspended financial advisor Timothy David O’Brien from the securities industry for a 45-day period. He was also fined $10,000. O’Brien was registered with Feltl & Company in Inver Grove Heights, MN, from May 2012 until August 2020. He is currently not registered.

 If you have lost money with Timothy David O’Brien, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

Timothy David O’Brien and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on November 24, 2020, over allegations that O’Brien placed two unauthorized trades in a customer’s account in October 2017. Specifically, O’Brien sold a limited partnership position in a customer’s account and purchased Class A shares of a mutual fund. O’Brien did not have the authorization to make the transactions. He attempted to call the customer to discuss the trades but did not reach her before executing the transactions. The customer complained to Feltl about O’Brien’s unauthorized trades in her account but ultimately declined to reverse the transactions.

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