Christopher Richard Wurtzinger of Chicago Illinois a stockbroker and supervisor formerly registered with Forest Securities has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that Wurtzinger failed to supervise outside business activities relating to the sale of Woodbridge Group of Companies promissory…
Jeffrey Scott Nimmow of Hillside Illinois a stockbroker formerly registered with Forest Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that (1) Nimmow sold at least $3,000,000.00 worth of Woodbridge Group of Companies promissory notes to investors without the securities broker dealer’s…
Jack David Stone of Hillside Illinois a stockbroker and securities principal formerly registered with Forest Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Stone neglected to provide recorded testimony before FINRA personnel when he was investigated by the regulator…
David Michael Apted of Saint Louis Missouri a stockbroker formerly registered with Forest Securities Inc. has been discharged by the firm on February 28, 2018 based upon its accusations that (1) Apted engaged in an outside business activity without either disclosing it to the firm or obtaining its approval (2) Apted submitted fraudulent documentation to…
Jeffrey Scot Nimmow of Chicago Illinois a stockbroker employed by Forest Securities Inc. has been discharged by the firm on March 6, 2018 based upon allegations that Nimmow (1) sold securities without being registered (2) failed to make required disclosures to the firm (3) failed to procure necessary customer account information prior to establishing an…
Michael Fitzgerald Dunne of Chicago Illinois is the president of Forest Securities Inc. who is subject of a Financial Industry Regulatory Authority (FINRA) investigation based upon accusations of Dunne’s involvement in private securities transactions and use of unauthorized communication channels relating to a Regulation D offering. FINRA Case No. 20160495874 (Aug. 2, 2017). FINRA Public…