Gregory O’Keefe Resigns from Wells Fargo Clearing Services

Gregory O’Keefe (CRD #: 722279), a broker formerly registered with Wells Fargo Clearing Services, allegedly resigned while under investigation by his firm, according to his BrokerCheck record, accessed on April 12, 2023. Keep reading to learn more about his alleged conduct as a broker.

Resignation from Wells Fargo Clearing Services

On February 17, 2023, Gregory O’Keefe resigned from Wells Fargo Clearing Services while allegedly under investigation for failure to supervise another broker’s trading activity.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish systems of supervision to detect and prevent violations of securities regulations. Firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs) to follow.

Background Information

Gregory O’Keefe 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 3 – National Commodity Futures Examination
• Series 5 – Interest Rate Options Examination
• Series 7 – General Securities Representative Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination

He has also worked for the following firms:

• Wells Fargo Clearing Services (CRD#:19616)
• First Albany Corporation (CRD#:298)
• PaineWebber (CRD#:8174)
• Smith Barney (CRD#:7059)
• Lehman Brothers (CRD#:7506)
• Smith Barney, Harris Upham & Company (CRD#:7059)
• Shearson Lehman Brothers (CRD#:7506)
• Paine, Webber, Jackson & Curtis (CRD#:8174)

Kurta Law Can Help

If you worked with Gregory O’Keefe 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 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.