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Daniel J. O'Neill

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/06/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. O’Neill (CRD No. 1358245), Respondent. DISCIPLINARY PROCEEDING NO. 2021070337301 Hearing Officer — RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 6, 2021 INTRODUCTION Disciplinary Proceeding No. 2021070337301 was filed on July 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel J. O’Neill submitted an Offer

    07/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. O’Neill (CRD No. 1358245), Respondent. DISCIPLINARY PROCEEDING NO. 2021070337301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel J. O’Neill, while associated with FINRA member Aegis Capital Corp. (“Aegis” or the “Firm”), excessively and unsuitably traded the account of one of his customers, Customer A, from July 2014 through June 2015 (the “Relevant Period”).

    Reference 2021070337301data-portal.finra.orgdata-portal.finra.orgfinra.org

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