PAUL ALLAN MCFEELEY is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 1800 SECOND STREET, SUITE 930, SARASOTA, FL, 34236.
PAUL ALLAN MCFEELEY has worked at OPPENHEIMER & CO. INC. since February 13, 2009
Disclosure History
PAUL ALLAN MCFEELEY has 2 Disclosure Event(s).
Date: March 30, 2017 Category: Regulatory Initiated By: NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES Allegations: MR. MCFEELY FAILED TO NOTIFY THE NYS DEPARTMENT OF INSURANCE OF THE FINAL DISPOSITION OF AN ADMINISTRATIVE ACTION WITHIN 30 DAYS OF THE DISPOSITION. Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $500.00 Broker Comment: THIS ORDER WAS THE RESULT OF A FINDING THAT MCFEELEY WAS NOT PROPERLY REGISTERED IN THE STATE AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH OPPENHEIMER. THIS OCCURRED DUE TO AN ADMINISTRATIVE ERROR NOT CAUSED BY MCFEELEY. MCFEELEY WAS PROPERLY REGISTERED WHEN HE RESIDED IN A DIFFERENT STATE. WHEN HE MOVED TO FLORIDA, HIS STATE INVESTMENT ADVISOR REPRESENTATIVE LICENSE WAS NOT PROPERLY TRANSFERRED TO FLORIDA. THIS WAS AN ADMINISTRATIVE INADVERTENT CLERICAL ERROR BY AN ADMINISTRATIVE ASSOCIATE AT OPPENHEIMER. AS A RESULT MCFEELEY WAS UNDER THE REASONABLY MISTAKEN BELIEF THAT HE WAS PROPERLY REGISTERED. NO CUSTOMERS WERE HARMED BY THIS ERROR. THE FIRM HAS PAID THE FINE ON BEHALF OF MCFEELEY.
Date: March 03, 2016 Category: Regulatory Initiated By: Florida Office of Financial Regulation Allegations: n/a Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $17,500.00 Broker Comment: THIS ORDER WAS THE RESULT OF A FINDING THAT (BROKER) WAS NOT PROPERLY REGISTERED IN THE STATE AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH OPPENHEIMER. THIS OCCURRED DUE TO AN ADMINISTRATIVE ERROR NOT CAUSED BY (BROKER). (BROKER) WAS PROPERLY REGISTERED WHEN HE RESIDED IN A DIFFERENT STATE. WHEN HE MOVED TO FLORIDA, HIS STATE INVESTMENT ADVISOR REPRESENTATIVE LICENSE WAS NOT PROPERLY TRANSFERRED TO FLORIDA. THIS WAS AN ADMINISTRATIVE INADVERTENT CLERICAL ERROR BY AN ADMINISTRATIVE ASSOCIATE AT OPPENHEIMER. AS A RESULT (BROKER) WAS UNDER THE REASONABLY MISTAKEN BELIEF THAT HE WAS PROPERLY REGISTERED. NO CUSTOMERS WERE HARMED BY THIS ERROR. THE FIRM HAS PAID THE FINE ON BEHALF OF (BROKER).
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