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FSC Stockbroker Charged With Securities Fraud

November 07, 2017 | Posted by : Guiliano Law Group | Securities Arbitration Claims, Securities Fraud | 0 Comments

Frederick Wesley Roehm, of Schaumburg, Illinois, a stockbroker formerly registered with FSC Securities Corporation, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement containing findings that Roehm, inter alia, failed to disclose that a customer sued him […]

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FSC Stockbroker Charged With Securities Fraud

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