Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Massachusetts-based Securian Financial Services broker/adviser Erik O’Leary has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Leary (CRD# 3174893).
Erik O’Leary has spent four years in the securities industry and has been registered with Securian Financial Services in Mansfield, Massachusetts since April 2018. He was previously registered with NYLife Securities in Waltham, Massachusetts (2013-2018). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 2015, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on October 11, 2013. He is currently not registered as a broker with any US state.
According to his BrokerCheck report, he has received one customer complaint and one financial disclosure.
In November 2017 a customer alleged Erik O’Leary, while employed at NYLife Securities, misrepresented material facts regarding the surrender charges and death benefits associated with two non-registered life insurance contracts established in or around March 2015 to replace a third party variable universal life insurance policy. The complaint settled in January 2018 for more than $57,500.
In December 2017 Erik O’Leary paid $21,300 to satisfy a debt of $56,000 with Amex.
If you or someone you know has complaints regarding Erik O’Leary or NYLife Securities, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.