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James O’Reilly Under FINRA Investigation

James O’ReillyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 26, 2016 indicate that former Alaska-based Wells Fargo Advisors broker James O’Reilly is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Reilly (CRD# 857252).

James O’Reilly has spent 37 years in the securities industry and was most recently registered with Wells Fargo Advisors in Anchorage, Alaska (2008-2016). Previous registrations include AG Edwards & Sons in Anchorage, Alaska; Morgan Stanley DW in Purchase, New York; Bateman Eichler Hill Richards; Boettcher & Company; Shearson Lehman Brothers; Foster & Marshall/American Express; and Bear Stearns & Company. He is currently not registered with any state or firm.

According to his BrokerCheck report, James O’Reilly is the subject of one pending customer complaint and one pending FINRA investigation.

In September 2016 James O’Reilly voluntarily resigned from his position at Wells Fargo Advisors following allegations he “failed to amend his Form U4 to disclose that he was charged with, and pleaded guilty to, a felony drug offense in 2007.”

In September 2016 James O’Reilly was named in a FINRA investigation into allegations he “failed to amend his Form U4 to disclose that he was charged with, and pleaded guilty to, a felony drug offense in 2007.” The investigation remains pending.

In August 2016 a customer alleged James O’Reilly, while employed at Wells Fargo Advisors, breached his fiduciary duty and acted negligently. The customer is seeking $4,000,000 in damages in the pending complaint.

If you have complaints regarding James O’Reilly, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.