Tag Archives: Fortune Financial Services Inc.

FINRA Bars AGES Stockbroker In Investigation

August 15, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on FINRA Bars AGES Stockbroker In Investigation

Frank Vincent Sapareto of Derry New Hampshire a stockbroker formerly registered with Advisory Group Equity Services Ltd. has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity according to a FINRA Office of Hearing Officers Default Decision containing findings that Sapareto engaged in an undisclosed outside business […]

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Fortune Financial Services Stockbroker Charged With Fraud

August 06, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Promissory Notes, Securities Fraud, Selling Away and Outside Activities   |   Comments Off on Fortune Financial Services Stockbroker Charged With Fraud

Jonathan Douglas Freeze (also known as Jon Freeze) a former stockbroker of Fortune Financial Services Inc. and representative of Alternative Energy Holdings Inc. has been charged by Securities and Exchange Commission (SEC) with defrauding twenty-five customers through fraudulent promissory notes transactions. Securities and Exchange Commission v. Jonathan D. Freeze et al. Case No. 2:21-cv-720 (June […]

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Advisory Group Equity Services Stockbroker Investigated

March 31, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Advisory Group Equity Services Stockbroker Investigated

Frank Vincent Sapareto of Westport Connecticut a stockbroker formerly registered with Advisory Group Equity Services Ltd. is referenced in a Financial industry Regulatory Authority (FINRA) investigation in which the regulator determined that Sapareto should face disciplinary action for allegedly failing to be truthful during an investigation into his outside business activities. FINRA Investigation No. 20180603797 […]

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Fortune Financial Stockbroker Sanctioned By Regulator

August 27, 2020  |   Posted by :   |   Unauthorized Trading   |   Comments Off on Fortune Financial Stockbroker Sanctioned By Regulator

Eugene Nathan Gordon (also known as Gene Gordon) of Palo Alto California a stockbroker currently employed by Fortune Financial Services has been issued an Order of Summary Revocation and Issuance of Restricted License by California Department of Insurance supported by allegations of Gordon having failed to disclose sanctions imposed against him by Financial Industry Regulatory […]

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Fortune Financial Stockbroker Barred For Loan From Elderly Customer

July 20, 2020  |   Posted by :   |   Customer Loans, Elder Financial Abuse   |   Comments Off on Fortune Financial Stockbroker Barred For Loan From Elderly Customer

Jean Connell Hicks of Saint Petersburg Florida a stockbroker formerly registered with Fortune Financial Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hicks neglected to furnish documentation and information to FINRA personnel when she was under investigation for borrowing from a customer […]

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Investors Sue Fortune Financial For Fake Notes From Mr. Freeze

Jonathan Douglas Freeze of Canonsburg Philadelphia a stockbroker formerly associated with Fortune Financial Services Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $175,000.00 in damages supported by allegations of bad promissory notes transactions effected through Freeze during the time that he was registered with Fortune Financial. […]

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Investors Sue Fortune Financial In Multiple Cases Involving Broker Charged with Felony Fraud

Michael Giokas of Clarence New York a stockbroker employed by Fortune Financial Services Inc. has been identified in a customer initiated investment related arbitration claim which has been resolved for $22,000.00 in damages founded on accusations that (1) a fiduciary duty was breached (2) transactions failed to be adequately supervised by the securities broker dealer […]

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Fortune Financial Sued For Broker Selling Away Fake Investments

Jonathan Douglas Freeze (also known as Jon Freeze) of Canonsburg Pennsylvania a stockbroker formerly registered with Fortune Financial Services Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought $330,000.00 in damages based upon accusations that Freeze solicited and obtained the customer’s funds for purposes of a direct investment in […]

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Fortune Financial Broker Barred By FINRA For Obstruction

April 05, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Michael Giokas of Clarence New York is a stockbroker formerly registered with Fortune Financial Services, Inc. who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of his fraudulent conduct. Letter of Acceptance Waiver and […]

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