March 17, 2022 – An AWC was issued in which O'Neill was fined $5,000 and suspended from association with any FINRA member in all capacities for three months. Without admitting or denying the findings, O'Neill consented to the sanctions and to the entry of findings that he willfully failed to timely amend his Form U4 to disclose a felony charge. The findings stated that O'Neill was charged with two counts of risk of injury to a child. At the time the charges were filed, O'Neill was aware of the felony charges and was required to amend his Form U4 within 30 days to disclose the charges. However, O'Neil did not disclose the felony charges until over six months after being charged.
The suspension is in effect from April 18, 2022, through July 17, 2022. (FINRA Case #2021071199401)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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