Daniel O’Neill (CRD #: 1358245), a broker registered with Aegis Capital, has multiple tax liens on his record, according to his BrokerCheck record, accessed on February 5, 2021. Keep reading to learn more about O’Neill’s conduct as a broker.
On September 19, 2019, Daniel O’Neill became the subject of a tax lien for $4,923.92. He has four other tax liens on his record that total $105,083.89.
On May 21, 2013, Daniel O’Neill became the subject of a civil lien for $30,000.
On February 16, 2016, an investor alleged that Daniel O’Neill had executed unauthorized trades and made unsuitable use of a margin account. The dispute settled for $12,500.
Daniel O’Neill has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in California, Connecticut, Florida, Iowa, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, and South Carolina.
During his 35 years of experience, O’Neill has worked at 13 firms:
- Aegis Capital Corp. (CRD #: 15007)
- Ladenburg Thamann & Co (CRD #: 505)
- Wachovia Securities (CRD #: 120708)
- Oppenheimer & Co (CRD #: 249)
- First Montauk Securities (CRD #: 13755)
- Janney Montgomery Scott (CRD #: 463)
- First Albany Corporation (CRD #: 298)
- Prime Charter Ltd. (CRD #: 25668)
- Bear, Stearns, & Co (CRD #: 79)
- Drexel Burnham Lambert (CRD #: 7323)
- Oppenheimer & Co (CRD #: 630)
- L.F. Rothschild & Co (CRD #: 501)
If Daniel O’Neill was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for a free case consultation with a securities attorney.