fortune financial services

Mike DeLuca-Fortune Financial Services Broker-Discloses Regulatory Suspension- New Brighton, PA

Mike DeLuca-Fortune Financial Services Broker-Discloses Regulatory Suspension- New Brighton, PA 150 150 ER

Mike DeLuca Investigation June 2023-New Brighton, PA According to publicly available records Michael DeLuca, a Fortune Financial Services, Inc. broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

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Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL 150 150 ER

Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of  Vinny Grucci,  a  former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

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Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Robert Rex, Esq.

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Robert Rex, Esq.

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

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Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 150 150 Robert Rex, Esq.

April 2020 – Collegeville, PA According to publicly available records  Richard Michael Wesselt  (CRD# 2195569) ,  a   registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

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Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX 150 150 Robert Rex, Esq.

September 2019 -Ft. Worth, Texas The FINRA records of  Timothy D. Walsh ,  a   broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

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