Posts Tagged ‘FSC Securities Corporation’
Kelly Barnett: Discharged, Sanctioned, and Suspended
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that former Florida-based FSC Securities Corporation broker/adviser Kelly Barnett has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have…
Read MoreJon Bowles Has Been the Subject of a Pending Customer Complaint
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that California-based FSC Securities Corporation broker/adviser Jon Bowles has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bowles (CRD# 2862432). Jon Bowles has spent 19 years in…
Read MoreBarry Hartman Has Received 13 Customer Complaints and 2 Regulatory Sanctions
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 9, 2017 indicate that former Montana-based FSC Securities Corporation broker Barry Hartman has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in…
Read MoreNisha Varma Has Received a Customer Complaint
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 9, 2017 indicate that California-based FSC Securities Corporation broker Nisha Varma has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Varma (CRD# 2478721). Nisha Varma has spent 2 years…
Read MoreFSC Securities Corporation Named in SEC Complaint
The SEC has filed a complaint against Georgia-based brokerage/advisory firm FSC Securities Corporation. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding FSC Securities Corporation (CRD# 7461). Formed in Delaware in 1977, FSC Securities Corporation is headquartered in Atlanta, Georgia and registered with 52 US…
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