FSC Securities problem Archives - Rex Securities Law-BLOG

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May 4, 2022
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Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY

Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

Jordan S. Berlin Investigation May 2022-Garden City, NY According to publicly available records, Jordan S. Berlin, a former Wilmington Capital Securities broker discloses a prior customer dispute. The Financial Industry Regulatory…

Rex Securities Law
April 17, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 17, 2021 April 17, 2021

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…

Rex Securities Law
February 24, 2020
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 24, 2020 February 24, 2020

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…

Rex Securities Law
April 12, 2018
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 12, 2018 May 25, 2018

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…

Rex Securities Law
June 22, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2017 June 22, 2017

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…

Rex Securities Law
June 13, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2017 June 14, 2017

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…

Rex Securities Law
July 19, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 19, 2016 May 18, 2017

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…

Rex Securities Law
June 15, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 15, 2016 May 9, 2017

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…

Rex Securities Law
March 16, 2016
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Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL

Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 16, 2016 June 28, 2018

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).…