Tag Archives: FSC Securities Corp

Customer Sues FSC Securities For Fraud

Jon Lewis Bowles of Pasadena, California, a stockbroker registered with FSC Securities, Inc., is the subject of a customer initiated investment related arbitration claim, where the customer sought $50,000.00 in damages based upon allegations of violation of FINRA Rules, violation of state and federal laws, breach of contract, breach of fiduciary duty, misrepresentation, suitability and […]

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FSC Securities Corp. Settles Non-Traditional ETF Action

September 15, 2017  |   Posted by :   |   Inverse/Leveraged ETF Funds, Investment and Regulatory News   |   0 Comments

FSC Securities Corp., headquartered in Atlanta, GA, has agreed to a letter of acceptance, waiver and consent (“AWC”) with FINRA dated August 10,2017. The agreement in Enforce,ment Action AWC 2010024620303 involves the sale to customers of non-traditional Exchange Traded Funds (“ETFs”). FSC operates a general securities business utilizing an independent contractor model. It has approximately […]

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FSC Broker Barred Sale of Unregistered Securities

James E. Scott, a registered representative with FSC Securities Corp., was permanently barred from associating with any Financial Industry Regulatory Authority in any and all capacities via terms of an Order Accepting Offer of Settlement containing allegations that Scott had aided and abetted an individual in the sale and recommendation of certain unauthorized securities transactions, […]

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