Jun 11th, 2015

Indianapolis Financial Advisor Makes Unauthorized Trades In Investors’ Accounts

James Madden, a financial advisor with Raymond James & Associates, has been fined and suspended for unauthorized trading in investors’ accounts. FINRA rules as well as […]
May 28th, 2015

Financial Advisor With City Securities Corporation Makes Unauthorized Transactions In Customer Accounts

Leonard E. Tanner (“Tanner”) in Indianapolis, Indiana has been fined $15,000 and suspended from the securities industry for making unauthorized transactions in customer accounts. Tanner made […]
May 18th, 2015

OneAmerica Is Fined $75,000 For Not Stopping Financial Advisor From Ripping Off Investors

OneAmerica Securities, Inc. (“OneAmerica”), located in Indianapolis, Indiana, has been fined $75,000 for failing to detect unauthorized transfers of funds as well as unsuitable recommendations made […]