MICHAEL SEAN O’MALLEY at STATE FARM VP MANAGEMENT CORP. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4500451
MICHAEL SEAN O’MALLEY is an Investment Adviser, associated with STATE FARM VP MANAGEMENT CORP. located at Lindstrom, MN. MICHAEL O’MALLEY’s Central Registration Depository (CRD) number is 4500451 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for MICHAEL O’MALLEY

    • Event Date: 11/10/1999
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: 1. COUNT 1 – FELONY THEFT-TEMPORARY CONTROL. COUNT 2 – GROSS MIDEMEANOR CRIMINAL VEHICULAR INJURY – AFTER PROBATION LESSENED TO MISDEMEANOR. 2. FELONY AND GROSS MISDEMEANOR 3. FELONY THEFT – DISMISSED, GM CRIMINAL VEHICULAR INJURY – CHARGED 4. NO
    • Charge Type: FELONY
    • Disposition: A.FELONY THEFT – DISMISSED – 3/31/00 GROSS MISDEMEANOR – CHARGED IMPOSITION OF SENTENCE STAYED -3/31/00 C. 2 YR PROBATION/HOUSE ARREST/40HR COMMUNITY SERVICE/LOSS OF DRIVERS LICENSE D. 2 YR PROBATION – RELEASED EARLY F. $230 G. PAID $230 3/31/00
    • Broker Comment: ATTENDED COLLEGE WEDDING AT GOLF COURSE, DROVE GOLF CART WITH 5 COLLEGE FRIENDS. CART TIPPED OVER INJURING MYSELF AND COLLEGE FRIEND. WENT TO COURT AND FORMALLY CAHRGED WITH GROSS MISDEMEANOR CRIMINAL VEHICULAR INJURY WITH STAY OF IMPOSITION. AFTER COMPLETION OF PROBATION CHARGED ONLY FOR MISDEMEANOR CRIMINAL VEHICULAR INJURY – FOR STITCHES TO COLLEGE FRIEND.
See also  JAY LIPFERT RICHARDS at CETERA ADVISORS LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Should I file a FINRA complaint against brokers like MICHAEL SEAN O’MALLEY?

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 MICHAEL SEAN O’MALLEY’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!

See also  PAUL CHARLES GRANITO at RBC CAPITAL MARKETS, LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.


Frequently Asked Questions About MICHAEL SEAN O’MALLEY

What is MICHAEL O'MALLEY's Central Registration Depository (CRD) Number?

4500451

Which firm is MICHAEL SEAN O'MALLEY associated with?

STATE FARM VP MANAGEMENT CORP.

Where is MICHAEL O'MALLEY located?

12805 Lake Blvd, Lindstrom, MN, 55045

Where can I find more details about MICHAEL O'MALLEY's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/43036 to read a detailed report for STATE FARM VP MANAGEMENT CORP.

Are there any disclosures, allegations or complaints filed against MICHAEL SEAN O'MALLEY?

Yes. There are disclosures, allegations, or complaints filed against MICHAEL SEAN O’MALLEY. Click here to view all details

Where can I download a detailed FINRA report for MICHAEL O'MALLEY?

Click here to download a detailed FINRA report for MICHAEL O’MALLEY

Is it safe to do business with MICHAEL SEAN O'MALLEY?

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

See also  SESHAGIRI MANDAVA at PRUCO SECURITIES, LLC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Report Inaccuracy
Disclaimer

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.



 

Originally posted on November 17, 2022 @ 8:55 pm

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account