Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mutual of Omaha Investor Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jacqueline Proffit | 6758357 | 1 | 09/26/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pedro Rafael Pumarada-Urrutia | 4340005 | 2 | 01/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pedro Rafael Pumarada-Urrutia | 4340005 | 2 | 12/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shane D Wieters | 7370190 | 5 | 07/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lovie Ross Scott | 7373154 | 1 | 05/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shane D Wieters | 7370190 | 5 | 08/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Kaspar | 2694087 | 3 | 07/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean V Boucounis | 845180 | 1 | 07/15/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Iniguez | 4299686 | 2 | 07/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Iniguez | 4299686 | 2 | 07/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |