Broker Investigation: Sean William Killoran

Sean William Killoran (CRD#: 4591890) is a previously registered securities broker. From 2013 to 2016, Mr. Killoran was employed at Scotia Capital (USA) Inc. based in New York, New York. This broker has also been associated with UBS Securities (2007-2012) and RBS Greenwich Capital (2006).

On June 21st, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Mr. Killoran. Here, our securities fraud lawyers review the allegations raised against former Scotia Capital broker Sean William Killoran. For full details on this case, please refer directly to Disciplinary Proceeding No. 20160491970-01.

Allegations of Misconduct: Sean William Killoran

In 2016, FINRA’s Department of Enforcement launched an investigation into the conduct of Sean William Killoran. Specifically, regulators were inquiring as to whether this broker mismarked securities while he was associated with Scotia Capital (USA). On several occasions, FINRA requested on-the-record testimony from Mr. Killoran as well as the production of documents from this representative. Investigators received no response. FINRA alleges that this former securities broker violated Rule 8210 by failing to respond to these requests. As of July of 2018, this complaint is currently still pending.

Were You the Victim of Investment Fraud?

Our law firm can help. At Sonn Law Group, we have fought for the rights of investors for nearly thirty years. Our legal team is committed to holding negligent brokers and negligent brokerages firms legally liable for their misconduct. To get a free, no obligation review of your investment fraud claim, please contact our legal team today.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

Rate this post:

1 Star2 Stars3 Stars4 Stars5 Stars
(No Ratings Yet)
Loading...