Timothy Lee Connor, of Redwood Shores, California, a stockbroker registered with First Allied Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 to $500,000.00 in damages based upon allegations that Connor made the unsuitable investment recommendation of real estate securities during the time that Connor was associated with First Allied Securities Inc. FINRA Arbitration No. 23-03159 (January 4, 2024).
This is not the first time that Connor has been referenced in a customer initiated investment related dispute concerning Connor’s conduct in the securities industry. FINRA Public Disclosure shows that Connor is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensation based upon allegations that Connor made unsuitable recommendations in structured products, alternative investments, and variable annuities when Connor was associated with First Allied Securities Inc. FINRA Arbitration No. 23-00387 (March 17, 2023).
Connor is also referenced in a FINRA securities arbitration claim in which the customer requested $80,000.00 in damages based upon allegations that Connor breached a contract, was negligent, breached his fiduciary duties, and made unsuitable recommendations in connection with the sale of real estate securities. FINRA Arbitration No. 23-03402 (November 29, 2023).
Connor was associated with First Allied Securities Inc. in Redwood Shores, California between October 18, 2011, and June 14, 2021, and associated with First Allied Advisory Services Inc. between December 23, 2011, and November 12, 2020. He has been associated with LPL Financial LLC in Redwood City, California since June 14, 2021, as a stockbroker and investment advisor representative.
