July 2016- Cincinnati, OH
The FINRA records of Joshua Standish “J.S.” Fortin , a stock broker currently employed by Money Concepts Capital Corp , disclose a prior final regulatory event, a prior final customer dispute and a currently pending investigation.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
The currently pending investigation by the Ohio Department of Insurance alleges that Fortin failed to disclose to NIPR and on his insurance license renewal that FINRA had previously suspended his series 7 securities license.
Fortin has been employed by Money Capital Concepts Corp. since 6/2016. His prior registration was with Great American Advisors from 8/2006-12/2008.
In December 2008, Fortin was suspended by FINRA for failure to comply with an arbitration award regarding a forgivable loan. That matter was resolved and his suspension was lifted in February 2016.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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