DANIEL J O CONNOR at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5687224
DANIEL J O CONNOR is an Investment Adviser, associated with NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at Albany, NY. DANIEL O CONNOR’s Central Registration Depository (CRD) number is 5687224 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for DANIEL O CONNOR

    • Event Date: 12/9/2006
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: POSSESSION OF FORGED INSTRUMENT
    • Disposition: Dismissed


Should I file a FINRA complaint against brokers like DANIEL J O CONNOR?

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Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by DANIEL J O CONNOR’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About DANIEL J O CONNOR

What is DANIEL O CONNOR's Central Registration Depository (CRD) Number?

5687224

Which firm is DANIEL J O CONNOR associated with?

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Where is DANIEL O CONNOR located?

1 Northwestern Blvd, Albany, NY, 12211

Where can I find more details about DANIEL O CONNOR's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/2881 to read a detailed report for NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Are there any disclosures, allegations or complaints filed against DANIEL J O CONNOR?

Yes. There are disclosures, allegations, or complaints filed against DANIEL J O CONNOR. Click here to view all details

Where can I download a detailed FINRA report for DANIEL O CONNOR?

Click here to download a detailed FINRA report for DANIEL O CONNOR

Is it safe to do business with DANIEL J O CONNOR?

We’re not sure. Please research DANIEL O CONNOR’s disclosures, allegations and complaints before taking a decision

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