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FSC Principal Fined For Failure To Supervise

December 15, 2017 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments

Eric Dean Rolschoven, of Missoula, Montana, a stockbroker registered with FSC Securities Corporation, was fined $15,000.00 by the Office of the Montana State Auditor, Commissioner of Securities and Insurance, according to a Consent Agreement and Final Order containing findings that Rolschoven failed to supervise a registered representative who engaged in sales practice violations. In the […]

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FSC Principal Fined For Failure To Supervise

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