Tag Archives: Mutual of Omaha Investor Services Inc.

SEC Bars Mutual of Omaha Stockbroker For Fraud

Edward Earl Matthes (also known as Ed Matthes) of Oconomowoc Wisconsin a stockbroker associated with Mutual of Omaha Investor Services Inc. has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisories according to an Order based on allegations of […]

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Mutual Of Omaha Stockbroker Barred In Investigation

Ramon Esparza of Edinburg Texas a stockbroker employed by Mutual of Omaha Investor Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA personnel during the period in which he was investigated for engaging in […]

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Mutual Of Omaha Bars Stockbroker In Outside Business Activities Investigation

Ramon Esparza of Edinburg Texas a stockbroker employed by Mutual of Omaha Investor Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA personnel during the period in which he was investigated for partaking in […]

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FINRA Bars Mutual Of Omaha Broker In Investigation

Edward Earl Matthes (also known as Ed Matthes) of Oconomowoc Wisconsin a stockbroker formerly registered with Mutual of Omaha Investor Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in an investigation into accusations […]

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Mutual Of Omaha Discharges Broker For Insurance Activities

Price A. Breville of Staten Island New York a stockbroker formerly registered with Mutual of Omaha Investor Services Inc. has been discharged on December 5, 2018 founded on allegations that Breville engaged in impermissible business activities concerning a customer’s purchase or sale of an insurance product. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that […]

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FINRA Bars Mutual Of Omaha Broker For Avoiding Regulator

September 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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