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