Last Updated: October 2023 (Lake Oswego, OR)
Stephen McNeill Investigation Summary
Here’s what you need to know about Lake Oswego, OR, stockbroker Stephen McNeil:
- Name: Mr. Stephen James McNeil
- Current Employer: Not currently registered with FINRA
- Previous Firms: Morningstar Investment Services, OneAmerica Securities, Voya Financial Advisors, ING Financial Advisers
- Function: Stock Broker/ Financial Advisor
- Aliases: Stephen McNeil
- Primary Location: Lake Oswego, OR
- CRD 4119627
- Can Stephen McNeil be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Allegations of Broker Misconduct Against Stephen McNeill by Former Employer
Former employer Morningstar Investment Services discharged Stephen McNeil in 2/2023 and makes the following allegation on his FINRA record: “Mr. McNeill was investigated and terminated from Morningstar for violating its Code of Ethics and Fraud and Abuse Policy after it was determined he had submitted reimbursement requests for business travel that had not occurred or occurred at different dates that Mr. McNeil indicated.”
Did You Lose Money With Stephen McNeill As Your Stockbroker?
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Stephen McNeil, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
