Dustin Ward Investigation May 2022 – St. Louis, MO According to publicly available records, Dustin Ward, a Woodbury Financial broker discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA)…
read moreJuly 2016- Tyler, Texas The FINRA records of Ronnie W. Shaffer , a stock broker who works for OneAmerica Securities, disclose 7 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…
read moreJune 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…
read moreFebruary 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…
read more