Articles Tagged with FSC Securities

Sandeep VarmaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2017 indicate that California-based FSC Securities broker/adviser Sandeep Varma has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Varma (CRD# 1926613).

Sandeep Varma has spent 27 years in the securities industry and has been registered with FSC Securities Corporation in San Diego and Palo Alto, California since 2015. Previous registrations include LPL Financial in San Diego, California (1995-2015); American Express Financial Advisors in Minneapolis, Minnesota (1990-1995); and IDS Life Insurance Company in Minneapolis, Minnesota (1990-1995). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 22, 1991; Series 7 (General Securities Representative Examination), which he obtained on April 21, 1990; and Series 3 (National Commodity Futures Examination), which he obtained on February 16, 1989. He is a registered broker and investment adviser with 26 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and three customer complaints that were closed or denied.

Jeffrey DeLonePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2017 indicate that former Pennsylvania-based FSC Securities broker/adviser Jeffrey DeLone has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. DeLone (CRD# 1790207).

Jeffrey DeLone has spent 28 years in the securities industry and was most recently registered with FSC Securities Corporation in Malvern, Pennsylvania (2007-2017). Previous registrations include Park Avenue Securities in Blue Bell, Pennsylvania; Mony Securities in New York, New York; and Cigna Securities in Radnor, Pennsylvania. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently sanctioned by FINRA.

FSC Securities Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 16, 2017 indicate that Georgia-based brokerage and investment adviser firm FSC Securities has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding FSC Securities (CRD# 7461).

Established in Delaware in 1977, FSC Securities Corporation is headquartered in Atlanta, Georgia and registered with 52 US states and territories. John Dillon is Vice President and Chief Financial Officer; Robert Guldner is Chief Compliance Officer, Investment Advisory; Jerome Murphy is Chief Executive Officer and President; Thomas Sidlo is Municipal Principal; Noah Sorkin is Executive Vice President, General Counsel, and Secretary; James Price is Chairman; Cynthia Hamel is Chief Operations Officer; David Schmidt is Treasurer and Financial Operations Principal. The firm is registered with the Securities and Exchange Commission and FINRA.

According to the firm’s BrokerCheck report, FSC Securities was recently sanctioned by FINRA.

Leonard FoxPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that New Jersey-based FSC Securities broker/adviser Leonard Fox Jr. has received resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fox (CRD# 1034449).

Leonard Fox has spent 33 years in the securities industry and has been registered with FSC Securities in Marlton, New Jersey since 2013. Previous registrations include Morgan Stanley in Voorhees, New Jersey; Morgan Stanley & Company in Voorhees, New Jersey; Morgan Stanley DW in Voorhees, New Jersey; Janney Montgomery Scott in Philadelphia, Pennsylvania; Merrill Lynch, and First Jersey Securities. He is a registered broker and investment adviser in Florida, Louisiana, New Jersey, and Pennsylvania. Continue Reading

Paul BarrPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Iowa-based FSC Securities Corporation broker/adviser Paul Barr has been the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barr (CRD# 1748415).

Paul Barr has spent 22 years in the securities industry and has been registered with FSC Securities in Marshalltown, Iowa since 1999. Previous registrations include Brenton Investments in Plymouth, Minnesota (1994-1999) and VSR Financial Service in Overland Park, Kansas (1993-1994). He is a registered broker and investment adviser in 35 US states and territories. Continue Reading

shutterstock_159512447The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding New York-based FSC Securities broker Gregg Templeton, particularly if those investors have been solicited to invest in shares of Adaptive Media (ADTM).

Gregg Templeton (CRD# 2412775) has spent 21 years in the securities industry and has been registered with FSC Securities in New York, New York since September 2015. Previous registrations include Oppenheimer & Company in New York (2007-2015); Morgan Stanley DW in New York (1998-2006); GKN Securities in New York (1996-1998); First Metropolitan Securities in New York (1996); State Capital Markets in New York (1996); Gruntal & Company in New York (1994-1996); and Royce Investment Group in Woodbury, New York (1993-1994). Mr. Templeton is a registered broker in California, New Jersey, and New York.

According to his BrokerCheck report, Gregg Templeton is the subject of two customer complaints and was discharged from his position at Morgan Stanley DW.

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