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Violation Tracker Individual Record

Company: OneAmerica Securities, Inc.
Penalty: $805,000
Year: 2014
Date: October 17, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: OneAmerica agreed to pay $805,000 in settlement of allegations it failed to reasonably supervise a representative who was alleged to have operated a Ponzi scheme leading to conviction for fraud.
Level of Government: state
Action Type: agency action
Agency: Indiana Securities Division
Civil or Criminal Case: civil
Case ID: 14-0229 CD
Facility State: Indiana
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.