A recent investor complaint against Henderson, Nevada financial advisors Anthony Napolitano (CRD# 4921500) and Jammie Avila (CRD# 3100097) alleges that...Read More
Jerry O’Halloran: $100K Complaint Against Daedalian Financial Advisor
Punta Gorda financial advisor Jerry O’Halloran (CRD# 1056697) has received multiple investor complaints alleging he recommended unsuitable investments and engaged in other forms of misconduct. Financial Industry Regulatory Authority records show that he is a broker with Union Capital Company, doing business as Daedalian Financial Services.
Mr. O’Halloran’s BrokerCheck report discloses numerous investor complaints. The most recent, filed in July 2022, alleges that as a representative of Union Capital Company, he recommended an unsuitable variable annuity. The pending complaint alleges damages of $10,000.
A second investor complaint, filed in October 2021, alleges that he recommended unsuitable products and effected unauthorized trades while a representative of Kovack Securities and Union Capital Company. The pending complaint alleges damages of $100,000.
A third investor complaint, filed in 2020, alleged that he sold “unsuitable high risk investments” while at Kovack Securities. The complaint reached a settlement of $24,000.
A fourth investor complaint, filed in 2016, alleged that he breached his fiduciary duty, breached contract, misrepresented and omitted material information, and engaged in negligence in connection with an investment in a United Development Funding IV real estate investment trust (REIT). In 2017 the complaint reached a settlement of $60,000.
According to the Financial Industry Regulatory Authority, Jerry O’Halloran holds 36 years of securities industry experience. Based in Punta Gorda, Florida, he has been a broker with Union Capital Company since 2018, doing business as Daedalian Financial Services. His past registrations include Kovack Securities (Punta Gorda, Florida; 2004-2018), Financial Investment Analysts (Pittsburgh, Pennsylvania; 2002-2004), A.G. Edwards & Sons (St. Louis, Missouri; 1998-2000), Edward D. Jones & Company (St. Louis, Missouri; 1992-1998), and United Services Planning Association (Fort Worth, Texas; 1982-1991). His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Florida, Georgia, Idaho, Maryland, North Carolina, Ohio, Pennsylvania, Texas, and Wisconsin. (Information current as of August 26, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.