JOEL FREDERICK KUGLER is currently employed as a Broker and/or Investment Adviser at FSC SECURITIES CORPORATION located at 1488 HOLY CROSS DRIVE, FAIRBANKS, AK, 99709.
JOEL FREDERICK KUGLER has worked at FSC SECURITIES CORPORATION since August 07, 2009
Disclosure History
JOEL FREDERICK KUGLER has 1 Disclosure Event(s).
Date: October 12, 1999 Category: Regulatory Initiated By: STATE OF CALIFORNIA, DEPARTMENT OF CORPORATIONS Allegations: KUGLER WAS OFFERING AND SELLING SECURITIES IN THE FORM OF PROMISSORY NOTES ISSUED BY FIRST LENDERS INDEMNITY CORPORATION. THESE NOTES ARE NOT EXEMPT FROM REGISTRATION IN CALIFORNIA. KUGLER, A REGISTERED REPRESENTATIVE, WAS ACTING AN AN UNLICENSED BROKER-DEALER. Resolution: Order SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: DESIST AND REFRAIN ORDER ISSUED. Broker Comment: IN 1995, AT THE RECOMMENDATION OF AN "UPLINE" BROKER AND ALSO A PRINCIPAL IN A BROKER/DEALER, I SOLD A PROMISSORY NOTE TO SOME CLIENTS. ON THE DAY A LETTER WAS RECEIVED FROM THE PRESIDENT OF THE BROKER/DEALER THAT THIS INVESTMENT WAS NOT APPROVED, I CEASED IMMEDIATELY FROM THE SALE OF IT, RETURNED TO A CLIENT A CHECK FOR A NOTE, THAT HAD NOT YET BEEN SENT, AND RESIGNED FROM ANY CONNECTION WITH THE COMPANY WHO DEALT WITH THE NOTES. I CEASED SELLING THE NOTES AND CEASED ANY CONNECTION WITH THE COMPANY IN MAY OF 1996. IN AUGUST OF 1999, I SPENT 2 1/2 HOURS WITH A REPRESENTATIVE FROM THE CALIFORNIA DEPARTMENT OF CORPORATIONS. IN OCTOBER OF 1999, THE CALIFORNIA DEPARTMENT OF CORPORATIONS SENT ME A CEASE AND DESIST AND REFRAIN ORDER. NO JUDGEMENTS, LIENS OR FINES WERE IMPOSED BY ANY REGULATORY AGENCY.
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