Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Walsh (Walsh), previously associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Walsh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $250,000.00 on July 11, 2024.
Failure to manage portfolio in light of their age, investment objectives, and risk tolerances.