Amy Marjorie O’Brien consented to an Acceptance, Waiver and Consent Letter (AWC) prohibiting her from working with any FINRA member in any capacity. O’Brien consented to the censure and the entry of findings that she failed to deliver documents and information as required by FINRA without admitting or contesting the findings. According to the findings, O’Brien was being investigated after she refused to assist with an anonymous report that she had inappropriately collected monies from an elderly customer. (Financial Industry Regulatory Authority Case #2021073002001)
Maddox Hargett & Caruso, P.C. represents investors nationwide who are trying to recover their losses. You can call or email our senior partner Mark Maddox to have your potential case evaluated at no charge. Please call 317-598-2043 or email him at mmaddox@mhclaw.com.