CA Advisor Michael Gilhooly Barred from Securities Industry

Michael Gilhooly – RJJ Pasadena Securities – S. Pasadena, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred financial advisor Michael Gilhooly from the securities industry. According to the Letter of Acceptance Waiver & Consent, without admitting or denying the findings, Gilhooly consented to the sanction and to the entry of findings that during the course of an ongoing examination, he refused to appear for on-the-record testimony requested by FINRA. FINRA’s findings stated that the regulator began an examination of the trading activity in the accounts of Gilhooly and one of his customers to determine whether Gilhooly engaged in conduct that violated federal securities laws or regulations or FINRA rules. Gilhooly was registered with RJJ Pasadena Securities in South Pasadena, CA from August 2001 until November 2017, according to his FINRA BrokerCheck Report. Gilhooly has four disclosure events listed…

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