Victim of Financial Fraud? Call Now

Kristopher O’Hare Allegedly Executed an Unauthorized Trade

Kristopher O’Hare (CRD #: 6256508), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 15, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On July 2, 2024, an investor alleged that Kristopher O’Hare executed an unauthorized trade. 

Unauthorized Trading

FINRA Rule 3260 limits discretionary trading by brokers to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm. Discretionary trading that takes place in an account that has not been approved is unauthorized.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized trading also violates this rule. 

Background Information 

Kristopher O’Hare has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 27 states and is a registered investment adviser in Georgia and Texas. 

Kurta Law Can Help 

If you worked with Kristopher O’Hare and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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 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. Do not let securities fraud go unchecked. Start your recovery process today.