RICHARD MARCH HOE is currently employed as a Broker and/or Investment Adviser at FSC SECURITIES CORPORATION located at 3636 NORTH ROFF AVENUE, OKLAHOMA CITY, OK, 73112.
RICHARD MARCH HOE has worked at FSC SECURITIES CORPORATION since January 22, 2015
Disclosure History
RICHARD MARCH HOE has 2 Disclosure Event(s).
Date: June 09, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES REP WAS INSTRUCTED TO BUY EQUITIES W/PROCEEDS OF A RETIREMENT PLAN ROLLOVER BUT PUT MONEY IN A VARIABLE ANNUITY INSTEAD; AND ALLEGES THAT REP WAS INSTRUCTED TO SELL EQUITIES INSIDE HIS EMPLOYER'S SELF-DIRECTED RETIREMENT PLAN AND REP DID NOT. Damage Amount Requested: $56,000.00 Broker Comment: THIS WAS A NUISANCE COMPLAINT. WHEN THE FIRM SUBMITTED ITS DISCLOSURE DOCUMENTS SIGNED BY THE CUSTOMER, NO FURTHER WORD WAS EVER HEARD FROM EITHER THE CUSTOMER OR HIS ATTORNEY.
Date: October 01, 2003 Category: Customer Dispute Allegations: TRADING ERROR. E-MAIL TRADE INSTRUCTIONS MISSED WHILE I WAS AT MY FATHER'S FUNERAL Damage Amount Requested: $6,800.00 Settlement Amount: $6,800.00
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RICHARD MARCH HOE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.