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Timothy O’Brien Formerly With Feltl & Company Has 6 Customer Complaints For Alleged Broker Misconduct

Who is Timothy O’Brien formerly with Feltl & Company?

Timothy O’Brien

Timothy O’Brien (CRD #1182298) who was formerly registered with Feltl & Company and located in Inver Grove Heights, Minnesota, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Feltl & Company, Timothy O’Brien was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Timothy O’Brien has had a history of regulatory actions himself. He has been suspended twice by FINRA for alleged violations of its rules and, apparently, is no longer employed in the industry.

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Timothy O’Brien Customer Complaints

Timothy O’Brien has been the subject of 6 customer complaints that we know about to recover investment losses. Five of the customer complaints were settled by Timothy O’Brien’s former employers in favor of the investors. Thus far, only one customer complaint was denied and, to date, the customer has not filed any arbitration proceeding.

Allegations Against Timothy O’Brien

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable investment recommendations.
  • Unsuitable short-term trading in customer’s account.
  • Misrepresentation and  excessive commissions.
  • Unauthorized use of discretion in customer’s account.
  • Unsuitable investments, overconcentration and misrepresentation resulting in excess of losses.

Timothy O’Brien Red Flags & Your Rights As An Investor

Of course, Timothy O’Brien did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Timothy O’Brien at Feltl & Company on alert to review carefully the activity and performance of their accounts and question whether Timothy O’Brien has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Feltl & Company also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

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or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Feltl & Company Due To Timothy O’Brien

If you have questions about Feltl & Company and/or Timothy O’Brien and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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