Greg Williams Investigation
November 2021-Greenwood, CO
According to publicly available records, Gregory Jon Williams, a former broker who was last employed by Fort Finanical Group, discloses 6 pending and 3 prior customer disputes.
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.
In 12/2019 a FINRA arbitration panel awarded a former customer of Williams over $45,000 to resolve allegations that Williams had breached his fiduciary duty, churned the account and made unsuitable recommendations.
The following customer disputes by customers of Greg Williams are currently pending:
- FINRA Case 21-742-a customer of Forta Financial seeks $30,000 and alleges breach of fiduciary duty and violations of securities laws between 111/2013-2/2021.
- FINRA Case 20-3504-a customer of Forta Financial seeks $250,000 and alleges breach of fiduciary duty and negligence between 11/2014-9/2020.
- FINRA Case 20-3372-a customer of Forta Financial seeks $99,000 and alleges breach of fiduciary duty and violations of securities laws between 3/2012-9/2020.
- FINRA Case 20-2962-a customer of Forta Financial seeks $500,000 and alleges breach of fiduciary duty and violations of securities laws between 8/2013-7/2020.
- FINRA Case 20-893-a customer of Forta Financial seeks $500,000 and alleges breach of fiduciary duty and violations of securities laws between 1/2015-3/2020.
- FINRA Case 18-2058-a customer of Presedential Brokerage seeks $1.2 million and alleges unauthorized transfer, unsuitable trading, misrepresentations, failure to supervise between 5/2012-3/2018.
If you have losses in an account handled by Greg Williams, call to learn how you may be able to recover damages through FINRA arbitration.
Forta Financial Group
According to FINRA records, Forta Financial Group is also known as:
- America’s Retirement Store
- Valley Oak Financial
- Sentry Pacific
- Presidential Wealth Management
- Presidential Brokerage
In 9/2015 a FINRA arbitration panel ordered Forta Financial to pay a customer more than $650,000 to resolve allegations that they failed to supervise one of their representatives causing losses.
In 8/2005 FINRA fined Forta Financial $70,000 and censured the company for various violations.
On 10/5/21 Forta Financial requested that FINRA terminate their registration.
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.
Florida-561 391 1900