JOHN PAUL ROMANUCCI is currently employed as a Broker and/or Investment Adviser at FORTUNE FINANCIAL SERVICES, INC. located at 10524 East 36th Street, Yuma, AZ, 85365.
JOHN PAUL ROMANUCCI has worked at FORTUNE FINANCIAL SERVICES, INC. since September 11, 2015
Date: March 30, 2001 Category: Customer Dispute Allegations: ON 03/30/2001 CLIENT CALLED WMA HEADQUARTERS TO CHEER ON HIS INVESTMENTS HIS WIFE WAS RETIRING 6/01. NEVER MADE A COMPLAINT - LETTER PROVIDED AND FAXED TO NASD DISCLOSURE REVIEW INDIVIDUAL 240-386-4757. Damage Amount Requested: $10,000.00 Broker Comment: I ATTENDED A COMPLIANCE MEETING IN EARLY 1994. WAS VERBALLY TOLD AT MEETING THAT VIATICALS WERE OK TO SELL BY MY OSJ. THIS WAS CONFIRMED BY MY MARKETING DIRECTOR. I SOLD ONE (1) VIATICAL. RECEIVED COMPLIANCE BULLETIN IN STATING VIATICALS WERE FORBIDDEN AFTERWARDS. I DESTROYED ALL VIATICAL INFORMATION
Date: March 30, 2001 Category: Employment Separation After Allegations Firm Name: WORLD MARKETING ALLIANCE Termination Type: Discharged Allegations: WMA FIRST ACCUSED ME OF VIOLATING OBA RULES AND CUSTOMER COMPLAINT AMENDED U5 REMOVING THE ALLEGED COMPLAINT Broker Comment: WAS PERMITTED IN 1994 TO SELL VIATICALS BY OSJ. THIS WAS DONE VERBALLY AT A COMPLIANCE MEETING. CLIENT CALLED WMA TO CHECK ON HIS INVESTMENTS. NASD REVIEW OF EVERYTHING DETERMINED THEIR LETTER OF CAUTION.
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