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William Kupets, Former Fortune Financial Services Broker Barred by FINRA

William Kupets, Former Fortune Financial Services Broker Barred by FINRA

William Kupets, Former Fortune Financial Services Broker Barred by FINRA 150 150 Rex Securities Law

June 2014-Hopwood, PA

The Financial Industry Regulatory  Authority (FINRA) barred William Thomas Kupets, Jr. from association with any FINRA member to resolve allegations that he failed to respond to requests for information and documents concerning potential disclosures on his form U4.  According to FINRA records, Kupets was registered with Fortune Financial Services from 07/2002-09/2013.

A form U4 is the Uniform Application for Securities Registration or Transfer. Stockbrokers must use this form to become registered and qualified to sell securities and must  update it from time to time as required by regulators. It contains information related to:

  • States where the broker is registered
  • Professional designations
  • Residential history
  • Employment history
  • Other businesses
  • Criminal disclosure
  • Regulatory action disclosure
  • Civil judgment disclosure
  • Customer complaints
  • FInancial disclosure, including bankruptcy

Rex Securities Law provides nationwide representation to investors 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.  Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

561 391 1900

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