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Juanita O’Neal Suspended for Allegedly Failing to Respond to FINRA Requests

Dec 8, 2021 FINRA Investigation

Juanita O’Neal (CRD #: 7071693), a broker formerly registered with TD Ameritrade, was recently suspended, according to her BrokerCheck Record, accessed on November 8, 2017. Details concerning the suspension are provided below.  

On August 18, 2021, FINRA alleged that Juanita O’Neal failed to respond to FINRA requests for information. Juanita O’Neal’s alleged conduct is a violation of FINRA Rules 8210 and 2010. 

FINRA Rule 8210 requires members to provide information under oath if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” 

Sanctions 

Pursuant to FINRA Rule 9552 and in accordance with FINRA’s Notice of Suspension letter dated August 18, 2021, Juanita O’Neal was suspended on September 13, 2021, from associating with any FINRA member firm in all capacities. 

FINRA Rule 9552 applies in situations where a brokerage firm or representative has failed to provide information or keep information current. FINRA Rule 9552 is a Notice of Suspension if corrective action is not taken. This means if Juanita O’Neal fails to request termination of the suspension within three months, she will automatically be barred on November 22, 2021, from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(h). 

Background Information 

Juanita O’Neal has passed the following exams: 

  • Series 63 - Uniform Securities Agent State Law Examination 
  • Series 7TO - General Securities Representative Examination 
  • SIE - Securities Industry Essentials Examination 

Other than TD Ameritrade, Juanita O’Neal has not worked with any other firms.  

Kurta Law Can Help 

If you have suffered losses after working with Juanita O’Neal, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors. Kurta Law is a nationally recognized law firm and 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. Reach out today to start the process to recover your investment losses.