Stephen Anthony Oliver (CRD#2173688) and FIRST ALLIED SECURITIES, INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Stephen Anthony Oliver (CRD#2173688) regarding allegations made regarding the following:

Claim(s) Made Against Stephen Anthony Oliver:

Claim Date: 2/6/2020

“Claimant alleges her financial advisers recommended investments that were not suitable for her. Claimant generally alleges breach of fiduciary duty, suitability, negligence, and failure to supervise.”

This claim, as of this posting, is currently Pending with a claim amount of $300,000.00 .

See more information on FINRA’s BrokerCheck site for Stephen Anthony Oliver.

Have an issue with Stephen Anthony Oliver?

If you had a negative experience or issue with Stephen Anthony Oliver and FIRST ALLIED SECURITIES, INC. from NEW YORK, NY, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Stephen Anthony Oliver, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

The Securities Lawyers have successfully recovered millions of dollars for investors across the country and are currently considering bringing claims on behalf of individuals or groups of investors who have suffered losses. If you are a former customer of Stephen Anthony Oliver and FIRST ALLIED SECURITIES, INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.