RICHARD ALAN ONEAL

RICHARD ALAN ONEAL is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 0-11253 TALLMADGE WOODS DR NW, SUITE A, GRAND RAPIDS, MI, 49534.

RICHARD ALAN ONEAL has worked at SECURITIES AMERICA, INC. since November 14, 2014

Disclosure History

RICHARD ALAN ONEAL has 5 Disclosure Event(s).

Date: August 01, 2016
Category: Customer Dispute
Allegations: Customer alleges that annuity sold to her in August 2015 did not meet her needs for income and contained an unsuitable death benefit rider.

Date: April 07, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $5,423.00
Judgment/Lien Type: Tax

Date: August 29, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $5,633.04
Judgment/Lien Type: Tax
Broker Comment: I HAVE BEEN IN THE PROCESS OF FILING AN OFFER IN COMPROMISE WITH THE IRS.

Date: January 04, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $186,120.00
Judgment/Lien Type: Tax

Date: May 03, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $57,084.00
Judgment/Lien Type: Tax

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.

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