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Jason Poschinger: FINRA Investigates Cetera Advisor

Indianapolis financial advisor Jason Poschinger (CRD# 6450544) is under investigation for alleged violations of FINRA rules. Financial Industry Regulatory Authority records show that he is currently registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively.

Mr. Poschinger’s BrokerCheck report discloses the investigation against him. Filed in February 2024, it states that FINRA made a preliminary determination to recommend disciplinary action against him. The action would concern allegations that he violated a number of FINRA rules. According to the disclosure, FINRA would allege that he “opened securities accounts at financial institutions other than his employer member firm without the prior written consent of his employer member firm,” in violation of Rule 3210. It would also allege that he “transmitted nonpublic personal customer information from his employer member firm to his personal email and to a subsequent member firm with which he associated,” in violation of FINRA Rule 2010. It would allege further that he distributed “unwarranted, exaggerated, and promissory” communications to the investing public without disclosing his relationship with his member firm, in violations of FINRA Rules 2210 and 2010. Finally, it would allege that he misrepresented material facts to a FINRA member firm, in violation of Rule 2010. The investigation remains pending.

A second disclosure on his BrokerCheck report concerns his firing from OneAmerica Securities. Filed in 2021, it states that the firm terminated him in connection with allegations he “emailed customer lists with private customer information from his business email to his personal email.”

According to the Financial Industry Regulatory Authority, Jason Poschinger holds eight years of securities industry experience. Based in Indianapolis, Indiana, he has been registered as a broker and an investment advisor with Cetera Investment Services and Cetera Investment Advisers, respectively, since 2023. His past registrations include Pruco Securities (Indianapolis, Indiana; 2021-2023), OneAmerica Securities (Indianapolis, Indiana; 2017-2021), Cetera Advisors (Carmel, Indiana; 2016-2017), and Charles Schwab & Company (Indianapolis, Indiana; 2015). His credentials include the passage of four securities qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He holds 21 state licenses. (Information current as of March 3, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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