JOHN FORTUNA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2150 POST RD, FAIRFIELD, CT, 06824.
JOHN FORTUNA has worked at LPL FINANCIAL LLC since June 16, 2017
Disclosure History
JOHN FORTUNA has 2 Disclosure Event(s).
Date: June 07, 2007 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THAT BETWEEN 1999 AND 2002 THE REGISTERED REPRESENTATIVE MISMANAGED HER ACCOUNT BY FAILING TO TRADE IN ACCORDANCE WITH HER OBJECTIVES AND INSTRUCTIONS. Damage Amount Requested: $300,000.00 Settlement Amount: $125,000.00 Broker Comment: JANNEY DENIES THAT IT OR JOHN FORTUNA HAVE COMMITTED ANY WRONGFUL ACTS OR VIOLATIONS OF LAW WHATSOEVER OR THAT IT OR JOHN FORTUNA WAS LIABLE IN ANY MANNER. THE PARTIES CONCLUDED THAT THE RESOLUTION OF THEIR DISPUTES AND THE SETTLEMENT OF THE CLAIMS BETWEEN THEM WITHOUT THE NEED FOR COMPLEX, TIME-CONSUMING AND COSTLY LITIGATION OR ARBITRATION WOULD BE IN THEIR RESPECTIVE BEST INTERESTS.
Date: April 16, 2003 Category: Customer Dispute Allegations: ALLEGATIONS: UNAUTHORIZED TRADING ISSUE WITH A STATED ACCOUNT LOSS OF $16,000.00 Damage Amount Requested: $16,000.00 Settlement Amount: $7,289.00
More Information
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