Close Menu
Free Consultation: 888-976-6111

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Jordan Awoye: $310K Complaint Against Former Equitable Advisor

    New York financial advisor Jordan Awoye (CRD# 6600772) recently received an investor complaint alleging that his conduct resulted in damages...

    Read More
  • Brian Beh: FINRA Investigates Frontier Solutions Advisor

    Richmond, Virginia financial advisor Brian Beh (CRD# 1500962) is under investigation by financial industry regulators in connection with alleged rule...

    Read More
  • Mike Shatsky: Sky Alpha Advisor Receives $788K Complaint

    Boca Raton financial advisor Mike Shatsky (CRD# 2430683) recently received an investor complaint alleging that he misrepresented an investment, resulting...

    Read More
  • Chad Bridgers: Cabot Lodge Advisor Faces $400K GWG L-Bond Complaint

    Fayetteville, Arkansas financial advisor Chad Bridgers (CRD# 2475641) recently received an investor complaint alleging that a GWG L-bond investment resulted...

    Read More
  • Previous
  • Next