Jason Michael Poschinger, of Indianapolis, Indiana, a stockbroker registered with Cetera Investment Services LLC, is under investigation by Financial Industry Regulatory Authority (FINRA). On February 21, 2024, FINRA made an initial determination to recommend disciplinary action against Poschinger. The allegations include Poschinger potentially opening securities accounts at financial institutions without Cetera Investment Services LLC’s prior written consent. The regulator also stated that he potentially distributed unreasonable and exaggerated communications to prospective investors. He potentially failed to submit this information to a supervisor for review and approval. FINRA Department of Enforcement, Case No. 20210731737.
FINRA Public Disclosure shows that on November 2, 2021, Poschinger was discharged by OneAmerica Securities Inc. The securities broker dealer alleged that prior to his resignation, Poschinger emailed customer lists containing private customer information from his business email account to his own email.
Poschinger was associated with Cetera Investment Services LLC from August 2023 to April 2024. He was previously registered with Pruco Securities LLC from November 2021 to August 2023, and OneAmerica Securities Inc. from October 2017 to November 2021.
