Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that former Oregon-based Principal Securities broker/adviser Aaron O’Neal, who was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm, was recently named in a pending regulatory complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. O’Neal (CRD# 4629971).
Aaron O’Neal has spent eleven years in the securities industry and was most recently registered with Principal Securities in Lake Oswego, Oregon (2017). Previous registrations include US Bancorp Investments in Happy Valley, Oregon (2013-2017); MetLife Securities in Lake Oswego, Oregon (2008-2013); WM Financial Services in Clackamas, Oregon (2004-2007); and Cue in Phoenix, Arizona (2003). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 2008; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 17, 2003; Series 7 (General Securities Representative Examination), which he obtained on December 3, 2009; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 19, 2003. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending state regulatory complaint and was recently terminated from his former employer.
In August 2017 he was named in a complaint by the Washington Securities Division alleging that he and another representative participated in securities transactions “outside of and without the knowledge of the firms they represented” and failed to properly record these activities in regulatory filings. The complaint alleges additionally that Mr. O’Neal “actively concealed” his participation in private securities transactions. The Division seeks to issue a cease and desist order, to deny Mr. O’Neal’s future securities registrations, and to issue fines and costs in the pending complaint.
In January 2017 he was terminated from his position at US Bancorp Investments in connection to allegations he wrote a customer’s initials on a “term life insurance document.”
If you or someone you know has complaints regarding Aaron O’Neal, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.