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WARNING! Impending Investigation: GEORGE W. MONTGOMERY, FORTUNE FINANCIAL SERVICES, and UNITED PLANNERS FINANCIAL SERVICES OF AMERICA

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26
May

WARNING! Impending Investigation: GEORGE W. MONTGOMERY, FORTUNE FINANCIAL SERVICES, and UNITED PLANNERS FINANCIAL SERVICES OF AMERICA

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George W. Montgomery, Fortune Financial Services, and United Planners Financial Services of America

Have you lost money with financial advisor George W. Montgomery from Phoenix and Peoria, Arizona?  We are investigating allegations made by AZ Central and Verde Independent regarding George Montgomery.  It was alleged that George Montgomery was found dead from four gunshot wounds in July 2014 in Wet Beaver Creek.  However, his death had been ruled a suicide by a medical examiner, despite two shots to the heart, the right hand, and his right thigh.

 

Some of the speculation regarding Montgomery’s supposed suicide came from alleged financial troubles.  According to AZ Central and Verde Independent, George Montgomery was under investigation by the Securities Division of the Arizona Corporation Commission regarding his involvement in an alleged Ponzi scheme called Twin Peaks.  Twin Peaks was alleged to have lost investors at least $3 million.  Montgomery was also a former running back at Arizona State University.

 

George W. Montgomery was a financial advisor and registered representative of Fortune Financial Services from January 2012 to July 2013.  Montgomery was also with United Planners Financial Services of America from 2005 to October 2011.  United Planners Financial Services of America terminated Montgomery in October 2011 for alleged involvement in an unapproved outside business activity.  Fortune Financial Services and United Planners Financial Services of America have been named in at least one FINRA arbitration claim, where an investor alleges that Montgomery misrepresented the risks of a security and failed to invest money that was given to him, causing losses of at least $235,000.

 

Brokerage firms like United Planners Financial Services of America and 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 and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in the Phoenix, Arizona area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James Financial Services, ProEquities, Securities America, National Securities Corp., and many others.

 

If you invested in Twin Peaks, either through George W. Montgomery, Fortune Financial Services, United Planners Financial Services of America, or another firm, please Contact Us at 720-599-3505 for a free evaluation of your case.

Click to view:  Montgomery BrokerCheck 5.26.15

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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