O'KEEFE SHAW & CO., INC. ⚠ Disclosure events

FINRA firm 40820 · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID: 40820
Firm name: O'KEEFE SHAW & CO., INC.
Other names / DBAs: O'KEEFE SHAW & CO., INC.
IA scope: —
SEC BD file: 8-49207
Branches: 0
Disclosure events: YES

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