Tag Archives: OneAmerica Securities Inc.

OneAmerica Stockbroker Barred In Investigation

Zachary Scott Wagner of Gilbert Arizona a stockbroker formerly registered with OneAmerica Securities Inc. and Merrill Lynch has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Wagner failed to comply with a FINRA investigation into allegations of his (1) engagement in outside business activities […]

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Regulators Investigate OneAmerica Stockbroker For Fraud

Zachary Scott Wagner of Gilbert Arizona a stockbroker formerly registered with OneAmerica Securities Inc. is referenced in a Arizona Securities Division investigation on March 26, 2019 founded on accusations that Wagner engaged in violations of the Arizona Investment Management Act and the Arizona Securities Act by (1) soliciting securities sales in the state without Wagner […]

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OneAmerica Stockbroker Barred By FINRA For Conversion

Domingo Gonzalez of Chesapeake Virginia is a stockbroker formerly registered with OneAmerica Securities Inc. who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted a customer’s investment funds. Letter of Acceptance Waiver and Consent No. 2017056563301 (Apr. 9, 2018). According […]

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OneAmerica Securities Accused Of Misrepresentation

March 07, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

David Joe Ondo Jr. of San Pedro California is a stockbroker currently registered with OneAmerica Securities Inc. who is the subject of a customer initiated investment related written complaint on June 13 2016 in which the customer sought seven thousand one hundred eighty-nine dollars in damages supported by accusations that Ondo made misrepresentations to the […]

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