DID GREGORY JON WILLIAMS CAUSE YOU INVESTMENT LOSSES?
Gregory Williams Formerly With Forta Financial Group, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct
Who is Gregory Williams formerly with Forta Financial Group, Inc.?
Gregory Williams (CRD #1561089) who was formerly registered with Forta Financial Group, Inc. and located in Greenwood Village, Colorado is a subject of one of our many securities industry sales practice abuse investigations. Gregory Williams has had his own share of regulatory problems. He was permanently barred from association with any FINRA member and all capacities.
Gregory Williams Customer Complaints
Gregory Williams has been the subject of 9 customer complaints that we know about to recover investment losses. One customer complaint resulted in an arbitration award in favor of the investor. Another arbitration claim was settled in favor of the investor. Morgan Stanley denied one customer complaint related to a variable annuity transaction, and to date, the customer has not taken any further action. There are currently 6 customer complaints pending against Forta Financial Group related to Gregory Williams investment recommendations.
Allegations Against Gregory Williams
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Breach of fiduciary duty, negligence, in violation of the state and federal securities laws related to nontraded business development company investments.
- Breach of fiduciary duty, negligence, in violation of the state and federal securities laws related to nontraded mutual fund company investments.
- Breach of fiduciary duty, negligence, in violation of the state and federal securities laws related to nontraded REIT investments.
- Unauthorized transfer, unsuitable investment recommendations, misrepresentations and omissions, and breach of fiduciary duty.
Gregory Williams Red Flags & Your Rights As An Investor
Of course, Gregory Williams did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Gregory Williams at Forta Financial Group, Inc. on alert to review carefully the activity and performance of their accounts and question whether Gregory Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Forta Financial Group, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Forta Financial Group, Inc. Due To Gregory Williams
If you have questions about Forta Financial Group, Inc. and/or Gregory Williams and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.