Tag Archives: fsc

FINRA Fines FSC Securities For Excessive Charges

January 10, 2018  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

FSC Securities Corporation, a brokerage firm headquartered in Atlanta, Georgia, has been censured and fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) by consenting to findings that it failed to apply mutual fund sales charge waivers for its customers that were eligible to receive them. Letter of Acceptance, Waiver and Consent, No. 2017054137901 (Dec. 20, […]

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