Search for: "FSC Securities Corporation"
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7 May 2024, 7:35 am
The advisers, including FSC Securities Corporation, Osaic Wealth, Inc. [read post]
7 Apr 2024, 9:01 pm
Securities and Exchange Commission (SEC) finalised rules mandating that companies record and disclose a range of climate risks and environmental data. [read post]
25 Aug 2023, 11:47 am
Censured & Fined July 2018 – FINRA sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system in connection with variable annuities. [read post]
3 Aug 2023, 11:22 am
FSC Securities Corporation Censured and Fined November 2017 – FINRA sanctioned FSC Securities Corporation on August 10, 2017, with a censure and fine of $100,000, and ordered the firm to pay $492,485.33 in restitution to customers. [read post]
22 Jun 2023, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets: FSC Securities Corporation, SagePoint Financial, Inc. [read post]
14 Apr 2023, 9:24 am
According to FINRA Disciplinary actions for March 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Kenwyn Belkot LPL Financial LLC FSC Securities Corporation Robert Calamunci Sr. [read post]
30 Mar 2023, 6:52 am
Specifically, FSC Securities, Royal Alliance, SagePoint Financial and Woodbury Financial allegedly negligently failed to communicate to investors that in an offering that GPB Capital Holdings, LLC failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
16 Jun 2022, 6:58 am
The petition was signed by 10 securities law professors, including former SEC commissioners Robert J. [read post]
3 Mar 2022, 8:27 am
To deal with transferable securities or money-market instruments issued by the following entities (variations exist relating to maturity periods and issue dates): A UK entity owned by Sberbank, VTB Bank, Gazprombank, VEB, Rosselkhozbank, OPK Oboronprom, United Aircraft Corporation, Uralvagonzavod, Rosneft, Transneft, and Gazprom Neft; or The Government of Russia, an individual resident of Russia or an entity incorporated in Russia (unless domiciled outside of Russia or a branch or… [read post]
2 Mar 2022, 12:35 pm
California Retiree Was Unsuitably Recommended Illiquid, Risky Investments An elderly Los Angeles investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against FSC Securities Corporation over investment losses suffered. [read post]
1 Feb 2022, 6:39 am
”House FSC Ranking Member Patrick McHenry (R-NC), however, described the bill as a “partisan” effort that would not effectively curb the Chinese Communist Party. [read post]
3 Nov 2021, 12:34 pm
(CRD#:43559), Winter Haven, FL11/07/2012 – 08/03/2018, FSC SECURITIES CORPORATION (CRD#:7461), WINTER HAVEN, FL04/27/1998 – 11/07/2012, SECURITIES SERVICE NETWORK, INC. [read post]
14 May 2021, 8:01 am
The latest version of the bill was reported by the House FSC by a vote of 28-24.According to Rep. [read post]
22 Apr 2021, 9:41 am
With respect to securities regulation, the House FSC’s budget views call for "robust funding" of the SEC in FY22 and for the SEC to finish its Dodd-Frank Act rulemakings. [read post]
22 Apr 2021, 6:15 am
., Triad, Woodbury Financial Services, and FSC Securities) have increased legal reserves by about $4.4 million compared to the prior year, according to SEC filings. [read post]
21 Apr 2021, 9:37 am
DINOSAUR FINANCIAL GROUP, L.L.C FSC SECURITIES CORPORATION GREAT POINT CAPITAL LLC LANDOLT SECURITIES, INC. [read post]
20 Apr 2021, 8:40 am
Representative Sherman’s discussion draft, however, would supersede state laws and preempt any contrary state laws.House FSC hearing. [read post]
19 Apr 2021, 10:54 am
The other Advisor Group broker-dealers include Woodbury Financial Services, FSC Securities, SagePoint Financial, Royal Alliance Associates, and FSC Securities Corporation. [read post]
23 Mar 2021, 12:48 pm
O’Bannon has been registered with FSC Securities Corporation in West Des Moines, Iowa, since October 2020. [read post]
22 Dec 2020, 1:21 pm
Investment firms shall notify their clients of the actions taken for the transfer of client assets within five working days of the transfer, respectively shall notify the FSC within three working days of the expiration of the term for transfer of client assets. [read post]
