FSC Securities Corporation

07/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047636601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Royal Alliance Associates, Inc., Respondent Member Firm CRD#23131 FSC Securities Corporation, Respondent Member Firm CRD# 7461 SagePoint Financial, Inc., Respondent Member Firm CRD# 133763 Woodbury Financial Services, Inc., Respondent Member Firm CRD# 421 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure,

Reference 2016047636601finra.orgdata-portal.finra.org

11/30/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060895801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: FSC Securities Corporation (Respondent) Member Firm CRD No. 7461 Royal Alliance Associates, Inc. (Respondent) Member Firm CRD No. 23131 SagePoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 Woodbury Financial Services, Inc. (Respondent) Member Firm CRD No. 421 Pursuant to FINRA Rule 9216, Respondents FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondents alleging violations based on the same factual findings described in this AWC.

Reference 2018060895801data-portal.finra.orgfinra.org

12/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062531501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Royal Alliance Associates, Inc. (Respondent) Member Firm CRD No. 23131 Sagepoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 FSC Securities Corporation (Respondent) Member Firm CRD No. 7461 Pursuant to FINRA Rule 9216, Respondents Royal Alliance, Sagepoint, and FSC submit this Letter of Acceptance, Waiver, and Consent (AWC)

Reference 2019062531501data-portal.finra.orgfinra.org

08/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024620303 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FSC Securities Corporation (BD No. 7461) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent FSC Securities Corporation ("FSC" or the"Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2010024620303data-portal.finra.orgfinra.org

07/11/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20050014029-01 TO: Department of Market Regulation NASD RE: FSC Securities Corporation, Respondent Broker-Dealer CRD No. 7461 Pursuant to Rule 9216 of NASD Code of Procedure, FSC Securities Corporation (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference 2005001402901finra.orgdata-portal.finra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050014379 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: FSC Securities Corporation Member (CRD No. 7461) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, FSC Securities Corporation accepts this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

Reference 2005001437901data-portal.finra.orgfinra.org

01/16/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072005019701 TO: Department of Enforcement NASD RE: FSC Securities Corporation Att'n Joseph B. Gruber, President 2300 Windy Ridge Parkway, Suite 1100 Atlanta, GA 30339 CRD No. 7461 Pursuant to Rule 9216 of NASD Code of Procedure, FSC Securities Corporation [Respondent] submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC

Reference E072005019701data-portal.finra.orgfinra.org

04/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034037602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FSC Securities Corporation, Respondent FINRA Member Firm BD No. 7461 Pursuant to F!NRA Rule 9216 of FINRA's Code of Procedure. FSC Securities Corporation ("FSC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2012034037602data-portal.finra.orgfinra.org

12/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054137901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: FSC Securities Corporation, Respondent CRD No. 7461 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, FSC Securities (“FSC” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for

Reference 2017054137901finra.orgdata-portal.finra.org

03/04/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050013-AWC TO: Department of Enforcement NASD RE: FSC Securities Corporation, Respondent Member CRD No. 7461 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging violations based

Reference C07050013data-portal.finra.orgfinra.org

05/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049751001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Royal Alliance Associates, Inc., Respondent Member Firm CRD# 23131 FSC Securities Corporation, Respondent Member Firm CRD# 7461 SagePoint Financial, Inc., Respondent Member Firm CRD# 133763 Woodbury Financial Services, Inc., Respondent Member Firm CRD# 421 Inger Wilson Fields, Respondent Financial and Operations Principal and

Reference 2016049751001data-portal.finra.orgfinra.org