DID MATTHEW SEAN OCONNOR CAUSE YOU INVESTMENT LOSSES?
Matthew O’Connor was fired from RBC Capital Markets, LLC in November 2024 for violating the firm’s Ineligible Securities Policy.
Who is Santiago Ocampo formerly with Jeffries LLC?
Matthew O’Connor (CRD #2965360) who was formerly registered as a broker with RBC Capital Markets, LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Matthew O’Connor Employment History and Termination
Matthew Sean O’Connor has over 18 years of experience in the securities industry. He has passed three industry exams, including Series 7 and Series 66, and is registered with four self-regulatory organizations. He has worked for RBC Capital Markets, LLC (2006–2024
His termination from RBC Capital Markets was related to a violation of the firm’s policy concerning ineligible securities. According to the report, Mr. O’Connor was discharged for violating RBC’s Ineligible Securities Policy.
Despite this incident, Mr. O’Connor is now employed at Robert W. Baird & Co. Incorporated since December 19, 2024, and he remains licensed in 20 U.S. states and territories, including Texas, California, and New York.
Negative Disclosures Summary
Matthew Sean O’Connor’s record noted the following disclosure:
- Employment Termination:
- Firm: RBC Capital Markets, LLC.
- Date: November 19, 2024.
- Allegation: Violation of RBC’s Ineligible Securities Policy.
- Product Type: Equity Listed (Common & Preferred Stock).
Matthew O’Connor Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Matthew O’Connor is a red flag which should put all current and former customers of Matthew O’Connor at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Matthew O’Connor engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Matthew O’Connor
If you have questions about RBC Capital Markets, LLC and/or Matthew O’Connor and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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