Soreide Law Group, a Florida-based law firm, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2020.” The following former broker was previously registered with Fortune Financial Services, Inc. of St. Petersburg, Florida:
Jean Connell Hicks (CRD #1005922, St. Petersburg, Florida).
On July 14, 2020, FINRA barred Jean Connell Hicks from acting as a broker or otherwise associating with a broker-dealer firm.
An Acceptance, Waiver, and Consent (AWC) was issued in which Jean Connell Hicks was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Hicks consented to the sanction and to the entry of findings that she allegedly refused to respond to FINRA’s request for documents and information in connection with its investigation of a telephonic complaint received from a client of her member firm to FINRA’s Securities Helpline for Seniors alleging that Jean Connell Hicks had borrowed money from the client and had failed to make interest payments due pursuant to a promissory note. FINRA’s findings stated that Hicks initially cooperated with FINRA’s investigation, however, she later ceased doing so.
(FINRA Case #2019063562901)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Jean Connell Hicks has 3 Disclosures on her FINRA CRD report. One is an “Investigation” initiated by FINRA dated June 22, 2020. FINRA’s description of the investigation is as follows, “Investigation into Rep Jean Hicks regarding allegations of borrowing money/loans from firm customers in effect in November 2014.” On July 14, 2020, is the “Regulatory” barring Hicks from the industry, and on July 15, 2020, there is an “Employment Separation After Allegations,” from Fortune Financial Services, Inc., stating that Hicks was permitted to resign following the allegations, “Failure to comply with firm's policy and procedures.”
Jean Connell Hicks was registered in the securities industry for 35 years and was listed with 7 firms, the most recent listed below:
05/03/2005 - 07/14/2020 Fortune Financial Services, Inc. - St. Petersburg, FL
If you’ve experienced financial losses due to the actions or recommendations of the former broker from, Fortune Financial Services, Inc. of St. Petersburg, Florida, Jean Connell Hicks, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents our clients nationwide before FINRA.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
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