WILLIAM HERMAN FICKEN is currently employed as a Broker and/or Investment Adviser at FSC SECURITIES CORPORATION located at 3319 DREXEL ROAD, MONTGOMERY, AL, 36106-3025.
WILLIAM HERMAN FICKEN has worked at FSC SECURITIES CORPORATION since October 20, 1980
Disclosure History
WILLIAM HERMAN FICKEN has 2 Disclosure Event(s).
Date: October 10, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SHE DID NOT REALIZE THAT HER CD HAD A 20 YEAR MATURITY AND WAS SUBJECT TO MARKET FLUCTUATION. Damage Amount Requested: $10,466.50 Settlement Amount: $10,466.50
Date: March 02, 1993 Category: Regulatory Initiated By: ALABAMA SECURITIES COMMISSON Allegations: ACTING AS INVESTMENT ADVISOR DOING BUSINESSIN STATE OF ALABAMA NOT REGISTERED AS AN INVESTMENT ADVISORWITH THE ALABAMA SECURITIES COMMISSION. Resolution: Consent SanctionDetails: Sanctions: Disgorgement/Restitution Sanction Details: A) AS INDEPENDENT AUDIT OF CLIENTS' INVESTMENTSACTUAL RATE OF RETURN B) PAY RESTITUTION TO ALL ALABAMA CLIENTSWHO EARNEDLESS THAN 6% ANNUALIZED. ALABAMA SECURITIESCOMMISSION AS PARTIAL REIMBURSEMENT OF COMMISSION'S EXAMINATIONCOSTS. E) PAY $500 TO ALABAMA SECURITIES COMMISSION FOR 1991AND 1992 REGISTRATION FEES. F) SUCCESSFULLY COMPLETE SERIES 65AND 63; NO NEW INVESTMENT ADVISOR CLIENTS UNTIL SUCCESSFULLYPASSED, REGISTRATION FINALIZED. Broker Comment: FAILURE TO REGISTER WAS DUE TO PROCRASTINATIONONLY.
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