January 2020-Bayville, New Jersey
According to FINRA records, James F. Fosbre, IV , a stockbroker who formerly worked for United Planners Financial Services , discloses a prior final customer dispute , a termination from employment and seven pending judgment/liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
James F. Fosbre discloses that in 2/2016 he was permitted to resign from United Planners Financial Services , who made the following allegation in connection with the termination: “failure to update U4 Financial Disclosure (bankruptcy) in a timely manner“.
Fosbre discloses that he was discharged from Chapter 7 bankruptcy in 8/2015. He currently discloses seven pending liens for taxes owed to the Internal Revenue Service and the State of New Jersey Division of Taxation.
Fosbre was been employed by United Planners Financial Services from 9/1999-2/2016. He has been employed by Fortune Financial Services since 2/2016.
If you have questions about an account handled by James F. Fosbre, IV , call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are 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.
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