Michael O’Rourke: $314K Complaint Denied by Oppenheimer

A denied investor complaint against Stamford financial advisor Michael O’Rourke (CRD# 1644712) alleged that his actions resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Oppenheimer & Company. 

Mr. O’Rourke’s BrokerCheck report discloses one investor complaint against him. Filed in May 2022, it alleged that as a representative of Oppenheimer & Company, he used discretion in the customer’s accounts to make trades involving stock and mutual fund products. The complaint, which was denied by the firm, alleged damages of $314,002. (When a complaint is denied, for reference, this is not necessarily mean it has no basis in fact. Customers can still pursue other actions, like FINRA arbitration claims.)

According to the Financial Industry Regulatory Authority, Michael O’Rourke holds 35 years of securities industry experience. Based in Stamford, Connecticut, he has been a broker and investment advisor with Oppenheimer & Company since 2006. His past registrations include UBS Financial Services (Stamford, Connecticut; 2001-2006), UBS Warburg (New York, New York; 2000-2001), Advest (Hartford, Connecticut; 1996-2000), Dean Witter Reynolds (Purchase, New York; 1994-1995), Kidder Peabody & Co. (New York, New York; 1991-1994), Smith Barney Harris Upham (New York, New York; 1989-1991), and Drexel Burnham Lambert (1987-1989). His credentials include the passage of six securities industry qualifying examinations: the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Uniform Investment Adviser Law Examination, or Series 65; the Municipal Advisor Representative Qualification Exam, or Series 50; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 41 state licenses. (Information current as of July 7, 2022.)

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