Tag Archives: FSC Securities Corporation

Investors File Arbitration Claim Against LPL For Suitability

January 19, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs, Variable Annuites   |   Comments Off on Investors File Arbitration Claim Against LPL For Suitability

Gilberto Briseno (also known as Gilbert Briseno) of Boutte Louisiana a former stockbroker and investment adviser representative of LPL Financial is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages estimated to exceed $5,000.00 founded on allegations that the customer received unsuitable investment recommendations from Briseno concerning […]

Read More »

Investors Accuse FSC Securities Of Fraudulent REITS Sales

June 24, 2020  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Investors Accuse FSC Securities Of Fraudulent REITS Sales

Frank Briseno III of Metairie Louisiana a stockbroker and investment adviser representative currently registered with FSC Securities Corporation is the subject of a customer initiated investment related written complaint on May 6, 2020 in which the customer requested more than $100,000.00 in damages based upon allegations that the customer was provided bad investment advice from […]

Read More »

FSC Sued By Investors For Failure To Supervise

Eric Dean Rolshoven of Florence Montana a stockbroker formerly registered with FSC Securities Corporation is the subject of a customer initiated investment related arbitration claim which was settled to resolve accusations that Rolshoven failed to supervise a stockbroker’s activities which led to inappropriate transactions being effected by the stockbroker. Financial Industry Regulatory Authority (FINRA) Arbitration […]

Read More »

Investors Sue FSC Securities For Bad REIT Sales

Larry Jefferson Tolbert of Memphis Tennessee a stockbroker formerly registered with FSC Securities Corporation is the subject of a customer initiated investment related arbitration claim which was resolved for $45,000.00 in damages founded on allegations that Tolbert put the customer in real estate investment trust products despite those securities having been inappropriate for the customer’s […]

Read More »

Retirement Group Retires Broker For Selling Away

Cory James Chapman (also known as Mickens Chapman) a stockbroker formerly employed by FSC Securities Corporation and The Retirement Group, has been terminated from the Retirement Group on December 14, 2017 supported by allegations that Chapman sold away from the firm. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on April 18, 2016, […]

Read More »

FSC Securities Accused Of Variable Annuity Fraud

Eric Lloyd Vogen of Davidson North Carolina a stockbroker currently registered with FSC Securities Corporation is the subject of a customer initiated investment related written complaint which was resolved on March 20, 2017 for $15,000.00 in damages supported by allegations that the customer was not provided information about income benefit provisions on a variable annuity. […]

Read More »

FSC Principal Fined For Failure To Supervise

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 […]

Read More »

FSC Stockbroker Charged With Securities Fraud

November 07, 2017  |   Posted by :   |   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 […]

Read More »

New Jersey Revokes Marlton Stockbroker’s Registration

Leonard V. Fox, Jr., of Marlton, New Jersey, a stockbroker formerly associated with FSC Securities Corporation, is the subject of a Summary Revocation Order issued by the State of New Jersey Bureau of Securities, which has revoked Fox’s investment advisor representative registration and securities agent registration supported by findings that he was expelled by Financial […]

Read More »

FSC Securities Corporation Sued For Suitability

September 15, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jordan Stuart Berlin, of Bedford Corners, New York, a stockbroker formerly registered with FSC Securities Corporation, is the subject of a customer initiated investment related written complaint on August 16, 2016, in which the customer requested $5,000.00 in damages based upon allegations that Berlin made unsuitable investment recommendations to the customer concerning equity investments, and […]

Read More »

Oppenheimer Stockbroker Barred In Regulatory Investigation

Greg D. Templeton, of New York, New York, a stockbroker formerly registered with Oppenheimer & Co., Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his sales practice violations and “mishandling” of […]

Read More »

Oppenheimer & Company Accused of Fraud

Gregg D. Templeton, of New York, New York, a stockbroker formerly registered with Oppenheimer & Co. Inc., was named in a customer initiated investment related arbitration claim on December 20, 2016, which settled for $562,500.00 in damages based upon allegations that from July 1, 2010 to March 31, 2015, Templeton misappropriated the customer’s funds, effected […]

Read More »

FSC Securities Corporation Named In Customer Securities Arbitration

December 23, 2016  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims   |   0 Comments

Henry John Kulig III, of Clearwater, Florida, a stockbroker currently registered with FSC Securities Corporation, is the subject to a customer initiated investment related arbitration action in which the customer was awarded $65,333.33 in damages. The customer’s claim was based upon allegations that Kulig made unsuitable investment recommendations to the customer concerning American Realty Capital […]

Read More »

Customers File Arbitration Claims Against Barred FSC Securities Corporation Broker

September 17, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Barry Hartman, of Missoula, Montana, a stockbroker registered with FSC Securities Corporation, became subject to a pending customer dispute on October 19, 2015, in which a customer requested $45,000.00 in damages after alleging that Hartman engaged in unauthorized transactions in the customer’s account and selected investments which were not suitable. On the same day, Hartman […]

Read More »

Marlton New Jersey Stockbroker Barred In Misappropriation Investigation

Leonard V. Fox, Jr., of Marlton, New Jersey, a stockbroker with FSC Securities Corporation, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he failed to cooperate in a FINRA investigation into allegations of his misappropriation of customer funds. Letter of Acceptance, Waiver and Consent, No. […]

Read More »

FSC Securities Corporation Broker Barred for Obstructing Investigation

November 15, 2015  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Alan Cashaw, Jr., of Philadelphia, Pennsylvania, a registered representative with FSC Securities Corporation, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Cashaw failed to respond to FINRA’s requests to provide information in connection with a FINRA investigation into Cashaw’s alleged misconduct. Department of Enforcement v. Alan Cashaw, […]

Read More »