Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gross (Gross), previously associated with Fortune Financial Services, Inc., has at least one disclosable event. These events include one tax lien, alleging that Gross recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 15, 2023.
Failure to correct exam issues related to maintaining financial records, lack of written contracts for some clients, updates to U-4 and ADV.
