September 2019 -Ft. Worth, Texas
The FINRA records of Timothy D. Walsh , a broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial Services disclose settlement of a customer dispute and a termination from employment.
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 FINRA Case 17-01114, a customer of World Choice Securities and Fortune Financial Services alleged that Walsh sold them a sophisticated investment in a variable annuity that was unsuitable. That case was settled 8/2017 for $25,000.
Timothy Walsh was been employed by Fortune Financial Services from 6/2016-12/2018.
He was employed by World Choice Securities in 10/2012 until he was discharged in 5/2016 for violating written policy procedures on advertising.
Prior to that Walsh was employed by Titan Securities from 1/2010-10/2012.
If you have losses in an account handled by Timothy D. Walsh, contact us for a no charge consultation to discuss your legal options for recovery.
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, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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