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Recent Posts in FSC Securities Category

FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations

FINRA fined Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, and Woodbury Financial a total of $1 million for failing to establish and maintain adequate supervisory systems ...
Continue reading "FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations" »

Sandeep Varma Cited for Misleading Estate Planning Seminar Communications

FINRA sanctioned former LPL Financial and present FSC Securities Corporation (both of San Diego, CA) broker Sandeep Varma for multiple violations related to seminar slide show presentations he ...
Continue reading "Sandeep Varma Cited for Misleading Estate Planning Seminar Communications" »

FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations

FINRA fined FSC Securities Corporation $100,000 and ordered nearly $500,000 in restitution after finding that FSC failed to establish and maintain adequate supervisory systems regarding its ...
Continue reading "FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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