by Admin Istrator | November 3, 2021 4:52 pm
Greg Williams (CRD #: 1561089) of Colorado, a broker formerly registered with Forta Financial Group, has multiple pending investor disputes, according to his BrokerCheck record, accessed on November 3, 2021.
On September 9, 2009, clients alleged that Gregory Williams breached his fiduciary duty and was negligent with certain securities between August 2013 and July 2020. The client is seeking $500,000 in damages; the dispute is pending.
On March 31, 2020, a client alleged that Mr. Williams made unsuitable investment recommendations, was negligent, and breached his contract between January 2015 and March 2020. The client is seeking $500,000; the dispute is pending. Then, on March 29, 2019, a client alleged that Greg Williams made unsuitable investment recommendations, misrepresented certain securities, and engaged in fraud. The client sought $578,821 and the matter entered into arbitration. The dispute was eventually settled for $45,818. You can read a copy of the arbitration details here.
On June 15, 2018, a client alleged that Mr. Williams executed an unauthorized transfer, made unsuitable investment recommendations, and breached his fiduciary duty between May 2012 and March 2018. The client is seeking $1,200,000; the dispute is pending.
Forta Financial Group has called the complaints “boilerplate” in disclosure documents filed with FINRA.
Greg Williams has passed the Series 63 Uniform Securities Agent State Law Examination, the Series 65 Uniform Investment Adviser Law Examination, the Securities Industry Essentials Examination, Series 31 Futures Managed Funds Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Alabama, Arizona, Arkansas, California, Colorado, Florida, Michigan, and South Dakota. Mr. Williams is a registered investment adviser in Colorado.
Greg Williams has 30 years of experience. Aside from his registration at Forta Financial Group, Mr. Williams has registered with the following firms:
If Greg Williams was your broker and you have questions about your investments, don’t hesitate to contact us with questions.
Source URL: https://mdf-law.com/forta-financial-complaints-greg-williams/
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