THOMAS EDWARD ONEILL is currently employed as a Broker and/or Investment Adviser at WHITAKER SECURITIES LLC located at 233 BROADWAY, 17TH FLOOR, NEW YORK, NY, 10279.
THOMAS EDWARD ONEILL has worked at WHITAKER SECURITIES LLC since September 13, 2002
Disclosure History
THOMAS EDWARD ONEILL has 2 Disclosure Event(s).
Date: October 08, 2009 Category: Customer Dispute Allegations: THE CLAIMANT, A CRIMINAL ATTORNEY BY PROFESSION, FILED A STATEMENT OF CLAIM AFTER MARKET CONDITIONS CAUSED A SIGNIFICANT DROP IN THE VALUE OF HIS INVESTMENT IN LEHMAN BROS. THE CLAIMANT SEEKS TO RECOVER HIS LOSS BY ALLEGING SALES PRACTICE VIOLATIONS AND A FAILURE TO REASONABLY SUPERVISE THE REGISTERED REPRESENTATIVE ASSOCIATED WITH THE CUSTOMER. THE ALLEGED VIOLATIONS OCCURRED BETWEEN JUNE 2008 AND SEPTEMBER 2008. APPLICANT DENIES THESE ALLEGATIONS IN THEIR ENTIRETY. Damage Amount Requested: $940,000.00 Settlement Amount: $600,000.00 Broker Comment: ON OCTOBER 8, 2009, ARBITRATION CASE NO. 09-00745 (THE "ARBITRATION"), TO AVOID FURTHER EXPENSE AND THE UNCERTAINTY OF THE ARBITRATION'S OUTCOME, RESPONDENTS WHITAKER SECURITIES LLC (THE "FIRM"), STEVE MORRIS AND MICHAEL SEGAL (THE "SETTLING RESPONDENTS") SETTLED THE CASE FOR THE SUM OF $600,000. WHITAKER HAS AGREED TO CONTRIBUTE $475,000 AND STEVE MORRIS HAS AGREED TO CONTRIBUTE $125,000 TO THE SETTLEMENT. THE SETTLEMENT AGREEMENT EXPRESSLY STATES THAT THE SETTLING RESPONDENTS DENY ANY CULPABLE CONDUCT. RESPONDENT THOMAS EDWARD O'NEILL WAS NOT A PARTY TO THE SETTLEMENT. THE CASE IS TO BE DISCONTINUED AGAINST MR. O'NEILL AND THE OTHER RESPONDENTS UPON PAYMENT OF THE SETTLEMENT AMOUNT.
Date: October 24, 2007 Category: Regulatory
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