Brian McKeon Allegedly Failed to Follow Client’s Instructions

Brian McKeon (CRD #: 4443727), a broker registered with Wells Fargo Clearing Services, was the subject of a recent investor dispute, according to his BrokerCheck record, accessed on October 21, 2024. Investors may have also engaged his services through Wells Fargo Advisors. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On August 29, 2024, an investor alleged that Brian McKeon failed to follow the client’s instructions to invest in a money market fund and made allegations relating to the management of a discretionary account and other accounts. The client further alleged that they lost interest, incurred fees, and experienced the reversal of a position due to his actions.

The client alleged that this misconduct took place between June 29, 2022, and the date of filing. This dispute was denied by the firm.

However, investors can still seek out FINRA arbitration and potentially recover their losses even if a firm denies their dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow instructions may violate this rule.

Background Information

Brian McKeon has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 31 – Futures Managed Funds Examination
• Series 7 – General Securities Representative Examination

Brian McKeon is a registered broker in 27 states and Puerto Rico. He is also a registered investment adviser in New York, Pennsylvania, and Texas.

He has also worked for the following firms:

• UBS Financial Services (CRD#:8174)
• Morgan Stanley (CRD#:149777)
• Morgan Stanley & Company (CRD#:8209)
• Wachovia Securities (CRD#:19616)
• Prudential Securities (CRD#:7471)
• Morgan Stanley DW (CRD#:7556)

Kurta Law Can Help

If you worked with Brian McKeon and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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.