Brian O’Neil Putt & O’Neil Capital Partners, L.P.—Sales of Unregistered Securities

New Orleans investment fraud attorneyBrian O’Neil Putt & O’Neil Capital Partners, L.P. Allegedly Sold Unregistered Securities, Failed to Return Funds, and also Borrowed Money from a Customer

Brian O’Neil Putt & O’Neil Capital Partners, L.P. allegedly sold unregistered securities, failed to return funds, and also allegedly borrowed money from a customer, according to Documents from the Tennessee Department of Commerce & Insurance currently under review by attorneys Alan Rosca and James Booker.

Brian O’Neil Putt & O’Neil Capital Partners, L.P. also allegedly were not honest regarding the nature of their transactions and did not abide by the noted terms of the aforementioned transactions, the aforementioned Documents note.

What is more, the Tennessee Department of Commerce & Insurance (TDCI) disciplinary action also further reports that Brian O’Neil Putt & O’Neil Capital Partners, L.P., based on the aforementioned alleged actions, allegedly violated securities laws.

Hence, TDCI issued a Final Order which purportedly imposes a $115,000 civil penalty against O’Neil Capital Partners and Putt, and orders them to cease and desist from any future activity in violation of the State of Tennessee’s securities laws.

The Peiffer Rosca Wolf securities lawyers are investigating Brian O’Neil Putt & O’Neil Capital Partners, L.P. alleged sale of unregistered securities.

O’Neil Capital Partners, L.P. Allegedly Never Registered as Broker-Dealer or Investment Advisor in Tennessee; Brian O’Neil Putt Was Allegedly Terminated from UBS after Obtaining Loans from Elderly Clients

O’Neil Capital Partners, L.P. allegedly was never registered as broker-dealer or investment advisor in Tennessee, according to Documents from the Tennessee Department of Commerce & Insurance presently being examined by attorneys Alan Rosca and James Booker.

In addition, Brian O’Neil Putt allegedly has a history with the law.

For example, Brian O’Neil Putt was allegedly terminated from UBS after obtaining loans from an elderly client between 2009 and 2010 for the amount of $58,000, according to the aforementioned Documents.

Furthermore, Brian O’Neil Putt then went on to allegedly make misrepresentations to aforementioned UBS client that the principal and interest had been returned to the client when the funds had purportedly not been paid, the Documents note.

In another case Brian O’Neil Putt provided investment services to a couple starting around 2002 or 2003, and in 2011 allegedly took in $100,000 for a short-term CD, the Documents allege.

By 2013 the couple asked for their cash and allegedly received a check for $100,000 plus $4,000 in interest, but the check was allegedly returned for holding insufficient funds, the Documents also report.

Brian O’Neil Putt was convicted in May of 2016 in a Shelby County Criminal Court of alleged theft of $60,000 and given eight years of probation, the Documents also state.

The Documents also further alleged that Brian O’Neil Putt also allegedly made no payments regarding any of his obligations before his conviction.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of unregistered securities sales and are currently investigating O’Neil Capital Partners, L.P. and Brian O’Neil Putt’s alleged sale of unregistered securities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of O’Neil Capital Partners, L.P. and Brian O’Neil Putt’s alleged sale of unregistered securities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1225 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.