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FSC Securities investigation

Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC

Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC 150 150 ER

Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records  Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation  discloses a pending customer dispute.…

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Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ

Sylvester Knox-Former FSC Securities Broker-Discloses Regulatory Events, Customer Settlements of nearly $3.7M- Short Hills, NJ 150 150 Rex Securities Law

April 2021- Short Hills, NJ According to his FINRA record  Sylvester Knox a financial advisor previously employed by FSC Securities Corporation discloses 4 regulatory events, 25 customer disputes and a…

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Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA 150 150 Rex Securities Law

February 2020 -Clive, IA The FINRA records of Rodney David Potratz  , a stockbroker  who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

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Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX

Gary Haack-Former Corecap Investments Broker-Discloses Settlement of Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

April 2018- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by…

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Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC

Gregg Templeton – Former Oppenheimer & Co. Broker – Discloses $6.75M Customer Dispute – NYC 150 150 Rex Securities Law

JUNE 2017- New York, NY According to publicly available records Gregg D. Templeton (CRD#2412775) ,  a  former stockbroker who was previously registered with Oppenheimer & Co., discloses a prior regulatory event, a currently pending…

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Gary C. Haack-Former FSC Securities Broker-Discloses Settlement of Customer Dispute-San Antonio, TX

Gary C. Haack-Former FSC Securities Broker-Discloses Settlement of Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

June 2017- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who currently is employed by Corecap Investments ,  discloses  2 prior customer disputes. The Financial Industry Regulatory…

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Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT

Barry G. Hartman-Former FSC Securities Broker-Discloses Settlement of Customer Complaints-Missoula, MT 150 150 Rex Securities Law

Missoula, MT UPDATE MAY 2017-Former FSC Securities broker Barry Hartman discloses two additional pending customer disputes: In FINRA case #16-3685 a customer of FSC Securities alleges damages of $184,750 for…

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Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Rex Securities Law

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

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Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL

Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL 150 150 Rex Securities Law

JUNE 2018- Clearwater, FLA We are investigating the Csenge Advisory Group on behalf of an elderly lady who alleges that she was sold an  unsuitable real estate investment trust (REIT).…

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