Gregory O’Brien (CRD #: 3154314), a broker registered with PHX Financial, Incorporated, is facing allegations from clients regarding unsuitable use of margin and poor performance, according to his BrokerCheck record, accessed August 19, 2020. Do you have questions about Gregory O’Brien’s conduct as a broker? Keep reading to learn more.
On June 18, 2020, a client alleged that Gregory O’Brien utilized unsuitable levels of margin. The client is seeking $153,300 in damages; the dispute is pending.
This is not the only disclosure in Gregory O’Brien’s BrokerCheck record.
Gregory O’Brien also has multiple tax liens on his FINRA BrokerCheck, totaling over $100,000.
On January 16, 2019, a client alleged that Gregory O’Brien breached his fiduciary duty, committed fraud, and was negligent. The client sought $100,000 in damages; the dispute settled for $59,000.
On February 15, 2018, a client alleged that Gregory O’Brien made unsuitable investment recommendations and breached his fiduciary duty. The client sought $500,000 in damages; the dispute settled for $147,500.
On May, 29, 2012, a client alleged that Gregory O’Brien made unsuitable investment recommendations. The client sought $300,000 in damages; the dispute settled for $25,000.
Gregory O’Brien has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 24 General Securities Principal Examination. Gregory O’Brien is a registered broker in Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Louisiana, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wyoming.
Gregory O’Brien has worked in the securities industry for 20 years. In his two decades of experience, Gregory O’Brien has worked for the following firms:
- Aegis Capital Corporation (CRD #: 15007)
- America’s Choice Equities LLC (CRD #: 135272)
- Gunnallen Financial, Incorporated (CRD #: 17609)
- Milestone Financial Services Incorporated (CRD #: 43295)
- Gilford Securities Incorporated (CRD #: 8076)
- Seaboard Securities, Incorporated (CRD #: 755)
If Gregory O’Brien was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.