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Paul McFeeley: Suitability Complaint Against Ex-Oppenheimer Advisor
Boca Raton financial advisor Paul McFeeley (CRD# 1478424) allegedly provided unsuitable and misleading investment advice, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Hightower Securities.
Mr. McFeeley’s BrokerCheck report discloses one investor complaint. Filed in April 2023, it alleges that as a representative of Oppenheimer & Company, he made misrepresentations of material facts and recommended an unsuitable investment in July 2018. The pending complaint alleges unspecified damages believed to exceed $5,000.
Two other disclosures on Mr. McFeeley’s BrokerCheck report concern regulatory actions against him. A March 2017 sanction by the New York State Department of Financial Services issued him a fine of $500 in connection with allegations he was not properly registered in the state as an investment advisor. A March 2016 sanction by the Florida Office of Financial Regulation, meanwhile, issued him a fine of $17,500 in connection with the same allegations.
According to the Financial Industry Regulatory Authority, Paul McFeeley holds 33 years of securities industry experience. Based in Boca Raton, Florida, he has been a broker and an investment advisor with Hightower Securities since April 2023, His past registrations include Oppenheimer & Company (Sarasota, Florida , 2009-2023), Citigroup Global Markets (New York, New York; 2001-2009), Merrill Lynch (New York, New York; 1996-2001), R. Seelaus & Company (Chatham, New Jersey; 1991), and Stoever Glass & Company (New York, New York; 1986-1989). His credentials include the passage of nine securities industry qualifying exams: the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; the Operations Professional Examination, or Series 99TO; the Uniform Securities Agent State Law Examination, or Series 63; the Uniform Investment Adviser Law Examination, or Series 65. He is current licensed in Florida. (Information current as of May 14, 2023.)
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.