MATTHEW EDWARD O'CALLAGHAN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094623 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Matthew Edward O'Callaghan, Respondent, CRD No. 5273940 Pursuant to Rule 9216 of FINRA Code of Procedure, I, Matthew Edward O'Callaghan submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,
Reference 2007009462302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047862701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Matthew Edward O'Callaghan, Respondent General Securities Representative CRD No. 5273940 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Matthew Edward O'Callaghan ("O'Callaghan"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2015047862701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5273940

Other names2

Also known as2

MATTHEW EDWARD OCALLAGHANMATTHEW EDWARD O' CALLAGHAN

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