MICHAEL JOSEPH MAHONEY

MICHAEL JOSEPH MAHONEY is currently employed as a Broker and/or Investment Adviser at WOODBURY FINANCIAL SERVICES, INC. located at 9501 W 144TH PLACE STE 103, ORLAND PARK, IL, 60462.

MICHAEL JOSEPH MAHONEY has worked at WOODBURY FINANCIAL SERVICES, INC. since April 18, 2008

Disclosure History

MICHAEL JOSEPH MAHONEY has 3 Disclosure Event(s).

Date: July 08, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $11,172.00
Judgment/Lien Type: Tax
Broker Comment: I WAS NOT AWARE OF LIEN UNTIL 10/6/17. CLERK NEVER NOTIFIED MY OF LIEN. I HAVE BEEN ON PAYMENT SCHEDULE W/ IRS FOR 2 YEARS.

Date: July 08, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $57,328.00
Judgment/Lien Type: Tax
Broker Comment: AS I STATED IN FILE FOR {Third Party}, I WAS NOT MADE AWARE OF THESE TAX LIENS UNTIL 10/6/2017. I HAVE BEEN ON A PAYMENT SCHEDULE WITH IRS FOR 2 YEARS. THE CLERK IN COOK COUNTY CONFIRMED THAT NO NOTICE WAS GIVEN.

Date: April 01, 1998
Category: Regulatory
Initiated By: PIT COMMITTEE - CHICAGO MERCANTILE EXCHANGE
Allegations: ANOTHER MEMBER PUSHED ME - I PUSHED HIM BACK. HE "WROTE ME UP" AND WE WERE SUMMONED TO APPEAR BEFORE A PIT COMMITTEE WHERE WE WERE BOTH GUILTY OF "UNLAWFUL USE OF FORCE"
Resolution: Decision & Order of Offer of Settlement SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $7,500.00 Sanction Details: THIS WAS MY FIRST AND ONLY VIOLATION OF EXCHANGE RULES IN 15 YEARS OF MEMBERSHIP. THE OTHER MEMBER AND I SHOOK HANDS AND BECAME FRIENDS.
Broker Comment: THIS WAS MY FIRST AND ONLY VIOLATION OF EXCHANGE RULES IN 15 YEARS OF MEMBERSHIP. THE OTHER MEMBER AND I SHOOK HANDS AND BECAME FRIENDS.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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