Mr. O'Keefe submitted a Letter of Acceptance,Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, O’Keefe consented to the described sanction and to the entry of findings that he took funds that belonged to his member firm’s bank affiliate totaling approximately $14,000 without the bank’s permission and consent by disabling the bank’s computer system that validated customer account balances and then cashing a $3,000 check.  The findings stated that O’Keefe also raised his cash limit on his bank debit card, posted the funds to his bank checking account and then withdrew funds totaling approximately $11,000. The findings also stated that O’Keefe failed to respond to FINRA requests forinformation.

(FINRA Case #2009017258701)