The O N Equity Sales Company – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with The O N Equity Sales Company. If you suffered losses investing with The O N Equity Sales Company, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
The O N Equity Sales Company (CRD# 2936) (SEC# 8-14161)
As of September 12, 2016, The O N Equity Sales Company’s FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
0 Civil Event Disclosures
2 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
10300 ALLIANCE RD.
BLUE ASH, OH 45242
P.O. BOX 371
CINCINNATI, OH 45201-0371
Business Telephone Number
Direct Owners and Executive Officers
OHIO NATIONAL LIFE INSURANCE – PARENT COMPANY
BAREFIELD, THOMAS ABDO (CRD# 1271901) – DIRECTOR
BLEY, JEFFREY ALLEN JR (CRD# 2401481) – DIRECTOR, VICE PRESIDENT, SALES
HUFFMAN, GARY THOMAS (CRD# 1032890) – DIRECTOR
MCEVOY, PATRICK HENRY (CRD# 1796543) – CHARIMAN, PRESIDENT & CHIEF EXECUTIVE OFFICER
PLANTE, KIMBERLY ANNE (CRD# 4933358) – SECRETARY
VANHOY, ANDREW JOSEPH (CRD# 3012299) – CHIEF COMPLIANCE OFFICER
WESTBROCK, NANCY M (CRD# 5637288) – CHIEF OPERATIONS OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.