According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Wesselt (Wesselt), previously associated with Fortune Financial Services, Inc., has at least 8 disclosable events. These events include 8 customer complaints, alleging that Wesselt recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jonathan Freeze (Freeze), in August 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances surrounding Freeze’s alleged sale of variable annuities. Freeze is formerly associated with Fortune Financial Services, Inc. (Fortune…
According to news reports, broker George Montgomery (Montgomery) committed suicide but questions surrounding the death left many believing that foul play was involved. Montgomery, a former ASU running back, before injuries took him off the field. Montgomery became a registered broker in 1998. From 2005 until October 2011, Montgomery was…