PATRICK O'KEEFFE KEVIN is currently employed as a Broker and/or Investment Adviser at FIFTH THIRD SECURITIES, INC. located at 801 EASTGATE NORTH DR., CINCINNATI, OH, 45245.
PATRICK O'KEEFFE KEVIN has worked at FIFTH THIRD SECURITIES, INC. since September 03, 2010
Disclosure History
PATRICK O'KEEFFE KEVIN has 2 Disclosure Event(s).
Date: April 07, 2011 Category: Customer Dispute Allegations: CUSTOMER ALLEGES REPRESENTATIVE MADE UNAUTHORIZED TRADES (SELLS) OF STRUCTURED PRODUCTS IN MARCH 2011. Damage Amount Requested: $16,000.00
Date: January 02, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT UPON A SUGGESTION TO WITHDRAW FUNDS, IT WAS NOT EXPLAINED THAT A LOSS WOULD BE INCURRED. Damage Amount Requested: $10,000.00 Broker Comment: REP'S STATEMENT: I TOLD CUSTOMER I WAS CONCERNED THAT A BOND MUTUAL FUND WAS DEPRECIATING IN A FALLING INTEREST RATE ENVIRONMENT. CUSTOMER WAS NOT AWARE THAT SHE WAS LOSING MONEY AND SUBSEQUENTLY WAS TOLD THAT AS LONG AS SHE DID NOT SELL IT SHE WOULD NOT LOSE MONEY. THE FUND CONTINUED TO DECREASE IN VALUE SINCE I SUGGESTED THAT SHE SELL IT. THIS EVENT IS NO LONGER REPORTABLE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for PATRICK O'KEEFFE KEVIN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.