Maureen A ODONNELL (CRD #1896357) Has Regulatory Disclosures on FINRA BrokerCheck

Maureen A ODONNELL (CRD #1896357) is a broker with regulatory disclosures on FINRA BrokerCheck. We reviewed her BrokerCheck report on February 17, 2026. It reflects four regulatory events. If you invested with Maureen A ODONNELL and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Maureen A ODONNELL’s FINRA BrokerCheck Report reflects four regulatory disclosures. Two examples are below:

On December 3, 2025, Maureen A ODONNELL’s FINRA BrokerCheck disclosure states the State of Connecticut Insurance Department denied the representative’s application for an individual insurance producer license. It states the denial was based on the representative’s failure to disclose three prior regulatory matters on the application. The record includes a broker comment stating she believed prior disclosure through the National Insurance Producer Registry satisfied the disclosure requirement.

On June 5, 2025, Maureen A ODONNELL’s FINRA BrokerCheck disclosure states the New York Department of Financial Services and the representative executed a stipulation regarding her June 24, 2021 renewal application for licensing. It states the matter involved inaccurate information about completing required continuing education hours. The disclosure lists a $7,500 civil and administrative fine and notes the matter was related to a previously reported FINRA Acceptance, Waiver and Consent.

BrokerCheck reflects two additional regulatory events not detailed here.

Rule Summary #1:

FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) sets a baseline duty of fair and ethical conduct. Regulators often cite it when a representative’s conduct involves misleading statements or dishonesty.

Rule Summary #2:

FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) prohibits filing incomplete or inaccurate information with FINRA. Issues about inaccurate certifications or disclosures can raise questions about compliance with this rule.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on Her FINRA BrokerCheck report, Maureen A ODONNELL:

Is currently registered with Northwestern Mutual Investment Services, LLC.

Has passed the Securities Industry Essentials (SIE) exam. Maureen ODONNELL has passed Series 7 and Series 6. She has also passed Series 65 and Series 63.

Was previously registered with firms that include Robert W. Baird & Co. Incorporated.

Kurta Law Can Help

If you have worked with Maureen A ODONNELL and you have concerns about her activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call (877) 600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.