Jason Poschinger Subject of FINRA Complaint

Jason Poschinger (CRD #:6450544), a broker previously registered with Cetera Investment Services, is the subject of a pending FINRA complaint, according to his  BrokerCheck record, accessed on November 7, 2024. Read on if you want to learn more about his alleged conduct as a broker.

FINRA Complaint

On October 15, 2025, Jason Poschinger was named in a FINRA complaint alleging that he downloaded confidential personal customer information and sent this data to two non-firm email addresses and provided this information to another FINRA member firm (Firm A).

The complaint alleges that this information included client names, phone numbers, addresses, Social Security numbers, birth dates, and account numbers and values for more than 600 customers and over 1,300 accounts. Jason Poschinger allegedly did not inform OneAmerica Securities or these clients of this transfer of information.

Jason Poschinger allegedly signed an affidavit attesting that he had not shared this information with any third party, that he had permanently deleted it and no longer had it in his possession, and that he would not use this client information to contact firm customers.

However, the complaint alleges that Jason Poschinger had transmitted the personal customer information related to more than 1,300 OneAmerica Securities clients to his new business email address at Firm A and transmitted information connected to 600 accounts to Firm A’s personnel to identify them as his clients. He allegedly also used personal client information to contact more than 600 customers to notify him of his move to Firm A and also requested certain clients move their business to that firm.

Further, Jason Poschinger allegedly signed a Statutory Agent Agreement with Firm A in which he confirmed that the investor information he had provided was either publicly available or known to him independent of his relationship with OneAmerica Securities, and that he had not taken the information from that firm.

Additionally, while still associated with OneAmerica Securities, Jason Poschinger allegedly opened four accounts at other FINRA member firms and one at another financial institution in which he could execute securities transactions and held a beneficial interest. He allegedly failed to seek or receive consent from OneAmerica Securities for these accounts.

The complaint alleges that Jason Poschinger violated FINRA Rules 3210 and 2010. This complaint is currently pending. You can access it here.

FINRA Rule 3210

FINRA Rule 3210 prohibits brokers from opening an investment account at any other brokerage firm besides the firm where they are registered representatives, unless they have the prior written consent of their firm. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Termination Details 

On November 2, 2021, OneAmerica Securities fired Jason Poschinger after he allegedly emailed lists with private investor information from his business email to his personal email.

Under SEC Regulation S-P, firms are required to have policies and procedures to maintain investor information.  

Background Information 

Jason Poschinger has passed the following exams: 

• Series 65 – Uniform Investment Adviser Law Examination 
• Series 63 – Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 – General Securities Representative Examination 

He previously worked with the following firms:  

• Cetera Investment Services (CRD#:15340)
• Pruco Securities (CRD#:5685)
• OneAmerica Securities (CRD#:4173)
• Cetera Advisors (CRD#:10299) 
• Charles Schwab & Co. (CRD#:5393) 

Kurta Law Can Help 

If you have been victimized after working with Jason Poschinger, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.