Oneamerica Securities, Inc. – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Oneamerica Securities, Inc.. If you suffered losses investing with Oneamerica Securities, Inc., then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Oneamerica Securities, Inc. (CRD# 4173) (SEC# 8-15009)
As of September 12, 2016, Oneamerica Securities, Inc.’s FINRA BrokerCheck Report contains the following:
8 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
433 NORTH CAPITOL AVE
THIRD FLOOR
INDIANAPOLIS, IN 46204-1984
Mailing Address
433 NORTH CAPITOL AVE
THIRD FLOOR
INDIANAPOLIS, IN 46204-1984
Business Telephone Number
317-285-1877
Direct Owners and Executive Officers
AMERICAN UNITED LIFE INSURANCE COMPANY (CRD# 1075) – PARENT
BURNS, TERRY WADE (CRD# 4680631) – DIRECTOR
CRAMPTON, JAMES CHARLES – VP TAX DIRECTOR
FLEETWOOD, MATTHEW THOMAS (CRD# 4109266) – PRESIDENT/CEO/DIRECTOR
HANEY, BETH ALLISON (CRD# 5907162) – TREASURER
HARTLEY, BRYAN KEITH (CRD# 5664171) – FINOP
MARTIN, DENNIS CAMERON (CRD# 5907197) – SENIOR VICE PRESIDENT/CHAIRMAN OF THE BOARD/BUSINESS & PRODUCT DEVELOPMENT OFFICER
SMART, ANTHONY MORRIS (CRD# 4319364) – VP, BUSINESS TECHNOLOGY
SMILEY, ERIC DAVID (CRD# 2978413) – VP, DIRECTOR OF OPERATIONS
UHL, SUSAN ELAINE (CRD# 5907242) – CHIEF COUNSEL, SECRETARY & ANTI-MONEY LAUNDERING
WILLIAMS, JAY BRIAN – CHIEF COMPLIANCE OFFICER
ZEIGLER, JOHN WILLIAM (CRD# 2320374) – VICE PRESIDENT, INSURANCE
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Oneamerica Securities, Inc. and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
