Tristan O’Neal Sanctioned In Iowa Over Noncompliance Certificate

Tristan O’NealPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Iowa-based Northwestern Mutual Investment Services broker Tristan O’Neal has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Neal (CRD# 5898324).

Tristan O’Neal has spent five years in the securities industry and was registered with Northwestern Mutual Investment Services in West Des Moines, Iowa from 2013 until 2018. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 15, 2012; SIE (Securities Industry Essentials Examination), which he obtained on July 28, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 30, 2013. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer and was sanctioned by state regulators in connection to alleged rule violations.

In June 2018 he was “permitted to resign” from his position at Northwestern Mutual Investment Services in connection to allegations he failed to disclose “potentially reportable events.”

In June 2018 the Iowa Insurance Commissioner sanctioned him in connection to allegations he had an “outstanding Certificate of Noncompliance” from the state’s revenue department. He was issued a suspension until certain terms were met, including the state’s withdrawal of the certificate and Mr. O’Neal’s payment of applicable fees and compliance with applicable statutes.

If you have lost money investing with Tristan O’Neal, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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