RICHARD MARCH HOE

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

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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.

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