July 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 and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Shaffer discloses 7 outstanding judgments filed at the Smith County Courthouse in favor of the Internal Revenue Service. The liens range in amounts from $12,280-$125,000.
Shaffer has been employed by OneAmerica Securities since 7/2010. Prior to that he was employed by Park Avenue Securities.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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