DANIEL ALLEN BORGES

DANIEL ALLEN BORGES is currently employed as a Broker and/or Investment Adviser at OHIO NATIONAL EQUITIES, INC. located at ONE FINANCIAL WAY, CINCINNATI, OH, 45242.

DANIEL ALLEN BORGES has worked at OHIO NATIONAL EQUITIES, INC. since April 15, 2010

Disclosure History

DANIEL ALLEN BORGES has 2 Disclosure Event(s).

Date: November 22, 2017
Category: Financial
Type: Bankruptcy
Broker Comment: This BK 7 was filed as part of the original Chapter 11 filed 4 1/2 years ago. All of the debt was the same.

Date: February 09, 2012
Category: Financial
Type: Bankruptcy
Disposition: CLOSING OF CASE
Broker Comment: THIS WAS ALL THE RESULT OF BEING LAYED OFF OF A NEW JOB I ACCEPTED AT AXA FINANCIAL IN DECEMBER OF 2007. I WAS EMPLOYED THERE FOR 6 MONTHS, AND THE ENTIRE NEW GROUP WAS LAYED OFF. THIS WAS THE BEGININNG OF A TERRIBLE PERIOD EXPERIENCED BY ARE COUNTRY. IT TOOK ME 14 MONTHS TO GET A JOB OF WHICH I HAVE BEEN AT FOR 2 YEARS. EVEN AT THIS TIME, UNEMPLOYMENT IN THE WHOLESALING WORLD IS STILL AT A RECORD HIGH OF 40 PERCENT. I JUST COULD NOT FINANCIALLY CONTINUE WITHOUT THE HELP OF CHAPTER 11. THIS GIVES ME THE CHANCE TO PAY MY DEBT, BUT DO IT FAIRLY WITH THE HELP OF THE COURT. I DID NOT FILE FOR CHAPTER 7 AND WALK AWAY FROM THE DEBT. I AM EXCITED TO PAY MY DEBT WHILE BEING TREAT FAIRLY AND GIVEN TIME TO REORGANIZE.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DANIEL ALLEN BORGES, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.