According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Godfrey (Godfrey), previously associated with Oneamerica Securities, INC., has at least one disclosable event. These events include one regulatory event, alleging that Godfrey recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Baker (Baker), previously associated with Oneamerica Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Baker recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Barrett (Barrett), previously associated with Oneamerica Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Barrett recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Lekousis (Lekousis), currently associated with Oneamerica Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lekousis recommended unsuitable investments in different investment products including debt securities among other allegations…
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations of misconduct in several customer accounts. Davis was associated with Beneficial Investment Services, Inc. from November 2008, through April 2010. Thereafter, Davis was associated with OneAmerica Securities, Inc. (OneAmerica) from…
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations that in connection with a FINRA investigation into allegations of misconduct in several customer accounts, FINRA staff scheduled Davis’ on-the-record (OTR) testimony and Davis failed to appear for the scheduled testimony and informed the…