National investment loss lawyers KlaymanToskes is investigating broker Kristopher O’Hare of Merrill Lynch (CRD #6256508).
According to FINRA BrokerCheck, broker Kristopher O’Hare of Merrill Lynch is currently facing an investor dispute filed in July 2024, alleging that he executed an unauthorized trade.
Investors that suffered losses with broker Kristopher O’Hare are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Kristopher O’Hare, a broker registered with Merrill Lynch, is currently facing an investor dispute alleging unauthorized trading. According to FINRA Rule 3260, brokers can only make trades without direct approval if the account has been pre-approved for such activity by both the client and the firm. Unauthorized trading happens when a broker makes trades in an account that does not have this approval. This also breaks FINRA Rule 2010, which requires brokers to follow high standards of honesty and fairness in their business.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Kristopher O’Hare. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Kristopher O’Hare, or have concerns regarding your investment portfolio at Merrill Lynch Pierce Fenner & Smith, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.