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Nancy Hecht Allegedly Failed to Follow Investor’s Liquidation Instructions

Nancy Hecht (CRD #: 1217854), a broker registered with Fortune Financial Services, allegedly failed to follow a client’s instructions, according to her BrokerCheck record, accessed on March 1, 2023. Investors may have also engaged her services through Certified Advisory Corporation. Read on to learn more about her alleged conduct as a broker.

Investor Dispute

On December 19, 2022, an investor filed a dispute alleging that Nancy Hecht failed to follow their instructions with regard to the liquidation of their securities on June 14, 2022. The client seeks $68,000 in damages in this pending dispute.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 5310

FINRA Rule 5310 requires brokers to execute clients’ transactions according to their instructions.

Background Information

Nancy Hecht has passed the following exams:

  • SIE – Securities Industry Essentials Examination
  • Series 22 – Direct Participation Programs Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Nancy Hecht is a registered broker in seven states and a registered investment adviser in Florida, Louisiana, and Texas.

She has also worked for the following firms:

  • Transam Securities (CRD#:18923)     
  • Maitland Securities (CRD#:130577)
  • CFG Securities Corporation (CRD#:10815)
  • First Investors Corporation (CRD#:305)

Kurta Law Can Help

If you worked with Nancy Hecht and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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