Latest Securities Lawyer News

Our experts keeping you up to date with our ever changing industry

Read the latest in Security Lawyer news and information

We're here to help victims of broker fraud
April 23, 2015
OneAmerica Securities Indianapolis Censured and Fined by FINRA Over Options Trading

OneAmerica Securities, Inc. (CRD #4173, Indianapolis, Indiana) was censured and fined $75,000 for allegedly failing to make reasonable inquiries or follow-ups on multiple red flags that indicated a registered representative associated with OneAmerica Securities was making unsuitable options recommendations and causing an improper and/or unauthorized transfer of funds to a third party. FINRA's findings stated […]

Copyright © 2025 Soreide Law Group, PLLC  |  All Rights Reserved