Securities Lawyers Blog
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 and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on September 13, 2023.
The complainants allege that their registered representative, beginning in or around 2021, made material misrepresentations in the sale of Whole Life Insurance and Variable Annuities, and falsified signatures and made fraudulent representations on insurance applications.