Sean Killoran, formerly with Scotia Capital, Barred by FINRA
Have you lost money with financial advisor Sean Killoran of New York, New York? We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Sean William Killoran. In June 2018, FINRA brought a complaint against Killoran. In November 2018, FINRA barred Killoran from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Killoran for allegations that he was involved in mismarking certain securities in a proprietary trading portfolio at his former firm, Scotia Capital.
Sean Killoran was a financial advisor and registered representative of Scotia Capital from July 2013 to June 2016. He worked at a branch office in New York, New York. Killoran was also terminated by Scotia Capital for alleged “unsatisfactory performance”.
Brokerage firms like Scotia Capital have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York City. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Killoran, Sean FINRA Complaint
Click to view: Killoran, Sean FINRA Order
Click to view: Killoran, Sean BrokerCheck 6.22.18
See also June 22, 2018 posting on Killoran: WARNING! Impending Investigation: SEAN KILLORAN of SCOTIA CAPITAL
If you lost money with Sean Killoran or Scotia Capital, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.