The securities and investment fraud law firm, Fitapelli Kurta, is interested in speaking to investors who have complaints regarding OneAmerica Securities, Inc. or its brokers.
OneAmerica Securities, Inc. is an independent broker-dealer firm based out of Indianapolis, Indiana. OneAmerica Securities, Inc. was incorporated under the laws of Indiana in 1969. OneAmerica Securities, Inc. is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). OneAmerica Securities, Inc. has offices in 51 U.S. states and territories. OneAmerica Securities, Inc. has five regulatory events listed on its BrokerCheck Report.
In February 2015 OneAmerica Securities, Inc. was fined $75,000 for failing to supervise a broker who was making unsuitable investment recommendations and was transferring customer funds to a third party. According to the Letter of Acceptance, Waiver and Consent (AWC) a OneAmerica Securities, Inc. broker excessively traded an elderly couple’s customer accounts and made unsuitable investment recommendations.
In October 2014 OneAmerica Securities, Inc. was fined $20,000 for failing to amend its broker U4 Forms. These forms typically contain any updated criminal charges, customer complaints, or judgments/lines which have been filed against the broker.
In July 2000 OneAmerica Securities, Inc. was fined $7,500 by the Florida Division of Securities for operating a branch office in the state without first being registered in Florida.
If you or someone you know has lost money investing with OneAmerica Securities, Inc. or any of its brokers, you may be entitled to recover your losses. The securities fraud law firm, Fitapelli Kurta, represents investors nationwide who have fallen victim to broker misconduct or unsuitable investment recommendations.
We have recovered millions on behalf of investors and will work fervently to prosecute your claim. All cases are taken on a contingency fee basis, which means we do not get paid unless and until you recover money.
Our consultations are always free. Call 877-238-4175 now to speak directly to an attorney.