Securities Lawyers Blog
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 and complaints.
FINRA BrokerCheck shows a final customer complaint on December 05, 2023.
Without admitting or denying the findings, Godfrey consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into a matter that originated after his member firm filed a Form U5 reporting that he was terminated as a result of submitting variable annuity applications with materially inaccurate information on exchange disclosure form(s).