Jean Hicks, formerly with Fortune Financial Services, Barred by FINRA
Have you lost money with financial advisor Jean Hicks? We are looking into allegations made about Jean Hicks from St. Petersburg, Florida. FINRA (the Financial Industry Regulatory Authority) barred her from the securities industry. FINRA alleged that failed to respond to its investigation. FINRA was investigating Hicks regarding allegations that she borrowed money from a customer and failed to make payments.
Jean Hicks was a financial advisor and registered representative of Fortune Financial Services from 2005 to July 2020. She worked in a branch office in St. Petersburg, Florida. Hicks also works as a realtor, tax preparer, and insurance agent.
Brokerage firms like Fortune Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Fortune Financial Services.