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Jim O’Reilly Barred Over Allegations of Outside Business Activity

Sep 17, 2021 AWC

Jim O’Reilly (CRD #: 2209758) has been barred by FINRA, according to his BrokerCheck record, accessed on September 1, 2021. Jim O’Reilly of New York was most recently registered with Lakeridge Capital and Eastgate Securities.

On August 2, 2021, Jim O’Reilly consented to the findings that he refused to appear for on-the-record testimony requested by FINRA. FINRA requested information related to an investigation into Jim O’Reilly’s potentially undisclosed outside business activities and private securities transactions. These allegedly involved private placement offerings. You can read a copy of the Acceptance, Waiver, and Consent Order here.

Outside Business Activities

FINRA requires brokers to disclose any business activities they conduct outside of their firm.

According to his detailed BrokerCheck record, Jim O’Reilly has the following outside businesses:

  • 63 Rockaway
  • JBO Consulting
  • Grid of Skill

He also states that he helps a company “find private placement deals.”

Jim O’Reilly Background Information

Jim O’Reilly has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 3 National Commodity Futures Examination
  • Series 55 Limited Representative Equity Trader Exam
  • Series 7 General Securities Representative Examination
  • Series 24 General Securities Principal Examination

Jim O’Reilly has worked with the following firms:

  • Lakeridge Capital (CRD #: 25005)
  • Eastgate Securities (CRD #: 146671)
  • Tor Brokerage (CRD #: 135274)
  • Dakoy Capital Markets (CRD #: 169954)
  • Gate US (CRD #: 10863)
  • Calibrax Capital Partners (CRD #: 1409)
  • ATM USA (CRD #: 137211)
  • Hamershlag Dodeles & Co. (CRD #: 2117)
  • Andrew, Alexander, Wise & co. (CRD #: 2117)
  • Sanford C. Bernstein & Co. (CRD #: 104474)
  • Schwab Capital Markets (CRD #: 2692)
  • H. Meyerson & Co. (CRD #: 540)
  • Robert Todd Financial Corp (CRD #: 7423)

Kurta Law Can Help

If Jim O’Reilly solicited you for an investment in an outside business or a private placement, the securities attorneys of Kurta Law would like to speak to you today. Call 877-600-0098 or email info@kurtalawfirm.com.