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FINRA Broker Allegations

Allegations against: Fred Francis Liebau

Allegation type: Civil

Allegation status: Final

The allegations read: (1) professional service corporation, in which i was an officer, and its representatives offered and sold solar units without registration under kansas securities act, and such securities were not exempt from registration requirements of the act. (2) the corporation and its representatives offered and sold limited partnership units that were not registered under the act; (3) sales of the solar units, were selling securities with recommendations that such offerings or sellings did not involve securities; and (4) that professional services corporation and its representatives offered and sold solar units without registration as a broker/dealer or agent.

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