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Kevin O’Brien Allegedly Failed to Follow Investor’s Instructions

Kevin O’Brien (CRD #: 1866397), a broker registered with Triad Advisors, is the subject of a pending dispute, according to his BrokerCheck record, accessed on August 7, 2022. Investors may also have engaged his services through Peak Financial Services. Read on to learn more about his conduct as a broker.

Investor Dispute

On May 19, 2022, an investor alleged that Kevin O’Brien placed the client in moderately conservative investments instead of conservative or “zero risk” investments. The client seeks $50,713 in this pending dispute.

FINRA Rules 2111 and 2010

FINRA Rule 2111 requires brokers to consult an investor’s profile when recommending investments. Investors’ profiles contain information such as their risk tolerance, tax status, and investment goals.

The failure to follow a client’s instructions violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor.

Background Information

Kevin O’Brien has passed the following exams:

  • 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
  • Series 24 – General Securities Principal Examination 

Kevin O’Brien is a registered broker in ten states and a registered investment adviser in Massachusetts.

He has also worked for the following firms:

  • Commonwealth Financial Network (CRD#:8032)
  • Peak Financial Services (CRD#:131970)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with Kevin O’Brien 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. 

 

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