PUNTA GORDA, FLORIDA

 Have you lost money with financial advisor Gerald O’Halloran, formerly with Kovack Securities and now with Union Capital Company in Punta Gorda, Florida?  We are looking into allegations made against Gerald O’Halloran. O’Halloran has been the subject of ten customer complaints, one which was made within the last year.  The most recent complaint alleges that the customer suffered losses in BDCs (or business development companies) and limited partnerships.

Gerald O’Halloran was with Kovack Securities from 2004 to March 2018.  He has been with Union Capital Company from December 2018 to the present.  He has worked at branch offices in Punta Gorda, Florida.  O’Halloran was also discharged by one firm in 1998 and permitted to resign by another firm in 2000.

Brokerage firms like Kovack Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida.  Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  O’Halloran, Gerald BrokerCheck 12.26.21

If you lost money with Gerald O’Halloran, Kovack Securities, or BDCs (business development companies), contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.