avoiding regulator

Monica Jean O’Neill (also known as Monica Jean Beauchene) a former Mutual of Omaha Investor Services Inc. registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that O’Neill failed to provide FINRA with information that was formally requested of her. Case No. 2017054075601 (Oct. 23, 2017).

FINRA suspended O’Neill on August 11, 2017, and called for O’Neill to cooperate with FINRA by October 22, 2017 if O’Neill did not want to be barred in all capacities. O’Neill never provided FINRA with the information that would end her termination, resulting in her being barred on October 23, 2017.

FINRA Public Disclosure reveals that on April 21, 2017, O’Neill was discharged by Mutual of Omaha Investor Services Inc. supported by allegations that Mutual of Omaha’s insurance affiliate had been provided information about a suspect check that O’Neill provided to a customer. Apparently, the firm found out that O’Neill had been arrested for identify theft.

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