Massachusetts Securities Division Places Paul Feeney Under Heightened Supervision
Paul Feeney (CRD #:2446567), a broker registered with International Assets Advisory, is involved in a regulatory disclosure, according to his BrokerCheck record, accessed on February 12, 2022. He is also an investment advisor registered with International Assets Investment Management.
On December 28, 2021, the Massachusetts Securities Division decided to place Paul Feeney’s registration as a broker and investment advisor in Massachusetts under heightened supervision. The decision was made following Paul Feeney’s termination from Citizens Securities.
Paul Feeney’s broker registration shall be supervised on a heightened basis by International Assets Advisory, while his investment advisor registration shall be supervised on a heightened basis by International Assets Investment Management.
Heightened supervision means a supervisor will have to review Paul Feeney’s transactions and recommendations on a regular basis.
Employment Termination Details
On July 26, 2021, Citizens Securities fired Paul Feeney after he allegedly signed and dated documents on behalf of a client in furtherance of a transfer, violating bank policy and industry standards of conduct.
Paul Feeney 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 55 – Limited Representative-Equity Trader Exam
- Series 7 – General Securities Representative Examination
He is a broker and investment advisor registered in Massachusetts.
Paul Feeney has also worked with the following firms:
- Citizens Investment Services (CRD#:39550)
- Citizens Securities (CRD #: 39550)
- Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691)
- Access Securities (CRD#:22455)
- Citigroup Global Markets (CRD#:7059)
- D. H. Blair & Co. (CRD#:6833)
- South Richmond Securities (CRD#:14913)
Kurta Law Can Help
If you have worked with Paul Feeney and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or email@example.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 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.