Violation Tracker Individual Record
Company:OneAmerica Securities, Inc.
Date:October 17, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
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
Source of Data:
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