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Amy O’Brien Barred After Allegedly Failing to Cooperate with FINRA Investigation

Feb 22, 2022 FINRA Investigation

Amy O’Brien (CRD #: 5765481), a broker formerly registered with LPL Financial, has been barred by FINRA, according to her BrokerCheck record, accessed on February 10, 2022. 

This bar stems from allegations that Amy O’Brien refused to provide documents and information requested by FINRA in connection with its investigation into her potential improper receipt of funds from an elderly customer. This matter originated from an anonymous tip submitted via FINRA’s website. 

By refusing to produce the documents and information requested pursuant to FINRA Rule 8210, Amy O’Brien violated FINRA Rules 8210 and 2010.

FINRA Rule 8210 requires that registered brokers supply FINRA staff with all information and documents requested in the course of an investigation. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”

You can read a copy of the Acceptance, Waiver, and Consent agreement here

Background Information

Amy O’Brien has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination 
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Amy O’Brien has also worked with the following firms:

  • Cetera Advisors (CRD#:10299)
  • Edward Jones (CRD#:250)
  • Chase Investment Services Corp. (CRD#:25574)

Kurta Law Can Help

If you have concerns about your investments after working with Amy O’Brien, don’t hesitate to contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.