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William O’Shaughnessey Allegedly Failed to Follow Instructions

Nov 14, 2022 Investor Disputes

William O’Shaughnessey (CRD #: 1739562), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on October 30, 2022. Keep reading if you have questions about his conduct as a broker.

Investor Dispute

On September 22, 2022, an investor alleged that William O’Shaughnessey failed to follow instructions in June 2022. The client seeks $394,534 in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

William O’Shaughnessey 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 7 – General Securities Representative Examination

William O’Shaughnessey is a registered broker in 22 states and a registered investment adviser in Georgia and Texas.

Kurta Law Can Help

If you worked with William O’Shaughnessey 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.