Sign of the Financial Industry Regulatory Authority

Amy Marjorie O’Brien (also known as Amy Marjorie Cash), of Fort Mill, South Carolina, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she failed to cooperate with FINRA when she was investigated for receiving an elderly customer’s funds. Letter of Acceptance, Waiver, and Consent No. 2021073002001 (December 23, 2021).

According to the AWC, FINRA received a tip from someone in regard to O’Brien’s possible receipt of funds from an elderly customer. The regulator launched an investigation into O’Brien for this reason. On November 5, 2021, O’Brien was asked by FINRA to supply information and documents relating to her activities with the elderly customer.

On November 19, 2021, O’Brien was supposed to respond, but the regulator granted an extension. On December 8, 2021, O’Brien’s lawyer informed FINRA that O’Brien would not cooperate with the request. O’Brien refused to provide any documents or information to FINRA, violating Rules 2010 and 8210.

O’Brien was associated with LPL Financial between January 12, 2015, and January 31, 2020, and between June 11, 2021, and December 22, 2021.