Defendant Name:
FSC Securities Corporation
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
American International Group, Inc.
SIC Code:
6331
CUSIP:
02687478
Initial Case Details
Legal Case Name
In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation
First Document Date
14-Mar-2016
Initial Filing Format
Administrative Action
File Number
3-17169
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 206(4), 207 Investment Advisers Act; Rule 206(4)-7 Investment Advisers Act
Resolutions
First Resolution Date
14-Mar-2016
Other Defendants in Action: