Fortress Financial Group fka FFGO

[JimGWD]

A Sampling of investigative correspondence with the United States Securities and Exchange Commission as early as year 2007. Five and a half years of investigative correspondence with the SEC. Several of the many received from the SEC. Five year investigation finding Fortress Financial Group both negligent and liable. Investment fraud can result in excess of a 20 year prison term for Fortress Financial representatives if found guilty.

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From: "U.S. Securities and Exchange Commission" <oiea... [Edit Address Book]
Subject: SEC Response - File SFDO1211738/E*Trade Securities, Inc.
Date: Mar 21, 2007 4:39 AM
Dear Mr. Hill:

I am confirming that we received your complaint concerning the above-name firm. We take investor complaints very seriously and try, whenever possible, to provide some form of assistance.

We have sent your complaint to the firm?s compliance department and asked them to respond directly to you. We also asked the firm to send us a copy of their letter to you. Please understand that this process may take four to eight weeks.

Our efforts to facilitate informal resolutions of complaints often succeed. But, in some cases, it remains unclear whether any wrongdoing occurred, or the dispute boils down to one person?s word against another?s. If that happens, we cannot act as your personal representative or attorney, and you will then have to decide whether you want to pursue legal action on your own. The following portion of this email outlines the steps you may wish to take if you choose that option, and includes information on arbitration, mediation, and sources of potential legal assistance. Please read this information carefully. It describes your rights and important deadlines.

Please do not hesitate to contact me if you have any questions.

Sincerely,

CHERYL M LAWSON
U.S. Securities and Exchange Commission
44 Montgomery Street, Ste. 2600
San Francisco, CA 94104
[phone]



STEPS FOR PURSUING A COMPLAINT

Know your legal rights

You should know your legal rights and be prepared to take action on your own, even while waiting for the firm?s response. Federal and state securities laws allow you to start legal proceedings against those who may be engaged in wrongdoing. If you believe the firm?s response inaccurate or incomplete, consider writing a second letter to the firm, laying out the problems with the firm?s response and including copies of documents that support your views.

Act promptly

Time restrictions, called ?statutes of limitations,? require you to begin legal action promptly. For example, the federal securities laws require you to bring action within two years of the date you reasonably should have discovered the wrongdoing, but no later than five years from the date it occurred. If you sue any later, you may lose the right to recover. Limitations vary from state to state and may differ depending on whether you claim a violation of state law or federal law.

Use arbitration, if agreed to

When you opened your brokerage account, you probably agreed to use arbitration (and only arbitration) to settle all disputes with your broker or the firm. But even if you did not, you may choose to use arbitration to settle disputes. If you use arbitration, arbitrators will apply either a federal or state statute of limitations, depending on the nature of your claim. You generally cannot pursue an issue through arbitration if it is more than six years old. For older cases, you will probably want to consult with an attorney. When deciding whether to arbitrate ? or, if it is a choice, to sue in court ? bear in mind that if your broker or brokerage firm goes out of business or declares bankruptcy, you might not be able to recover your money ? even if the arbitrator or court rules in your favor.

Learn about low-cost arbitration

If you use NASD Dispute Resolution, Inc. and your claim is $25,000 or less, you generally will not have to appear in person at a hearing and an arbitrator will make a decision on your case by reviewing documents and written descriptions of what happened from you and your broker. The New York Stock Exchange also offers simplified arbitration for claims under $25,000. Simplified arbitration can be a less costly alternative because you typically do not have to travel to a hearing and appear in person to give testimony and answer questions. You should carefully review the rules governing simplified arbitration before filing a claim. To obtain information about arbitration procedures, please go to: http://www.nasdadr.com/default.asp. Again, you should weigh the costs of arbitrating against the likelihood of being able to collect any award, especially if the brokerage firm has left the industry or gone bankrupt. Firms that stay in business typically pay the arbitration awards levied against them, but defunct firms may not.

Consider Mediation

Mediation is also an option you should consider before going to arbitration. Mediation allows you to save time and money because it is quicker than arbitration and voluntary. If you can?t reach an agreement through mediation, you can still go to arbitration. To learn about mediation, please go to: http://www.nasdadr.com/default.asp.

If you decide to hire a lawyer and need help in finding one, please go to: http://www.sec.gov/answers/lawref.htm. Remember you do not have to have a lawyer to file an arbitration claim.



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COMPLAINT
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Submitted: 2007-03-15
Send Copy: A copy of this may be sent to the entity.


ENTITY INFORMATION
Name: E*TRADE Securities LLC
Type: On-Line Trading Firm
Rep.: Tom Lee
Address: 671 N. Glebe Road, 11th Floor
Telephone [phone] x2237705
Arlington, VIRGINIA (VA) 22203
UNITED STATES


SECURITY INFORMATION
Name: Great West Gold
Symbol: GWGO
Type: Penny stocks


COMPLAINT INFORMATION
Providable Documents:
- Correspondence to and from Firm
- Notes of conversation with Firm

Description:
E*TRADE Securities LLC
STOCK SYMBOL GWGO (GREAT WEST GOLD)
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From: "U.S. Securities and Exchange Commission" <oiea... [Edit Address Book]
To: [e-mail],
Subject: SEC Response - File SFDO1211738/
Date: Dec 20, 2007 7:22 AM
Dear Compliance Officer:

We have enclosed additional correspondence received from Mary E. Taulbee concerning her complaint against your firm. Please review this matter further and provide Ms. Taulbee with a final report of your findings, addressing the issues raised within 30 days of the receipt of this letter. In addition, please send a copy of your reply to our office. Your response continues to be governed by SEC Form 1661 that accompanied our original letter to you.

Sincerely,


CHERYL M LAWSON
Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission
44 Montgomery Street, Ste. 2600
San Francisco, CA 94104
[phone]

Complaint E-Form Submission
Contact Date: 2007-12-17 18:33
Send to Entity: Yes

Entity Information
Name: E-Trade
Type: Broker-Dealer
Representative: Broker
Address: PO BOX 1542
Merrifield 22116

Security Information
Name: Fortress Financial Group
Symbol: FFGO.pk
Type: [Code 02]

Complaint
Providable
Documents: Correspondence to and from Firm

Details: My E-Trade brokerage account numbers 6098-9574 and 6102-2848 in my own name, were not credited with the 25% Dividend as promised by Fortress Financial Group (FFGO.pk) and as of this date, has not been credited to my account by E-Trade financial. E-Trade Financial may be contacted at 1-800-387-2331. Fortress Financial Group may be contacted at Fortress Financial Group, Inc.Fortress Financial Group, Inc. Mr. Peter J Bezzano, 1-914-462-3475
[e-mail]
As this date., they have stolen the funds from my dividend payment and failed to deposit to my brokerage account.

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From: "U.S. Securities and Exchange Commission" <oiea... [Edit Address Book]
To: [e-mail],
Subject: SEC Response - File SFDO1211738
Date: May 3, 2008 5:08 AM
Dear Compliance Officer:

We have enclosed additional correspondence received from MR Hill concerning his complaint against your firm. Please review this matter further and provide Mr. Hill with a final report of your findings, addressing the issues raised within 30 days of the receipt of this letter. In addition, please send a copy of your reply to our office. Your response continues to be governed by SEC Form 1661 that accompanied our original letter to you.

Sincerely,


CHERYL M LAWSON
Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission
44 Montgomery Street, Ste. 2600
San Francisco, CA 94104
[phone]

Complaint E-Form Submission
Contact Date: 2008-04-22 10:23
Send to Entity: Yes


Entity Information
Name: E-Trade Financial
Type: Broker-Dealer
Representative:
Address: P.O. Box 1542
Merrifield, VIRGINIA (VA) 22116-1542
UNITED STATES

Security Information
Name: Fortress Financial Group
Symbol: FFGO
Type: Penny stocks [Code 02]

Complaint
Providable
Documents: Correspondence to and from Firm
Advertising or Marketing Materials
Notes of conversation with Firm

E*TRADE Securities
P.O. Box 1542
Merrifield VA 22116-1542
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From: Help <[e-mail]> [Edit Address Book]
Subject: SEC Response
Date: Sep 4, 2011 8:37 AM
Dear Mr Hill,

Thank you for submitting your online contact to the Securities and Exchange Commission's Office of Investor Education and Advocacy. A representative of the Office of Investor Education and Advocacy will respond to you shortly.

In order to ensure that you receive your subscription e-mails and announcements from the SEC, please add us to your contact list, adjust your spam settings, or follow the instructions from your e-mail provider on how to prevent our e-mails from being marked "Spam" or "Junk Mail."

Please do not reply to this message directly.

Thank you,
Office of Investor Education and Advocacy

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From: Help <[e-mail]> [Edit Address Book]
Subject: SEC Response
Date: Sep 4, 2011 8:49 AM
Dear Mr Hill,

Thank you for submitting your online contact to the Securities and Exchange Commission's Office of Investor Education and Advocacy. A representative of the Office of Investor Education and Advocacy will respond to you shortly.

In order to ensure that you receive your subscription e-mails and announcements from the SEC, please add us to your contact list, adjust your spam settings, or follow the instructions from your e-mail provider on how to prevent our e-mails from being marked "Spam" or "Junk Mail."

Please do not reply to this message directly.

Thank you,
Office of Investor Education and Advocacy
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From: Help <[e-mail]> [Edit Address Book]
Subject: SEC Response
Date: Sep 11, 2011 12:51 PM
Dear Mr HILL,

Thank you for submitting your online contact to the Securities and Exchange Commission's Office of Investor Education and Advocacy. A representative of the Office of Investor Education and Advocacy will respond to you shortly.

In order to ensure that you receive your subscription e-mails and announcements from the SEC, please add us to your contact list, adjust your spam settings, or follow the instructions from your e-mail provider on how to prevent our e-mails from being marked "Spam" or "Junk Mail."

Please do not reply to this message directly.

Thank you,
Office of Investor Education and Advocacy
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From: OIG <[e-mail]> [Add to Address Book]
Subject: RE: Extraordinary Dividend Payment
Date: Sep 13, 2011 4:14 AM
Dear Mr. Hill,


Thank you for contacting the U.S. Securities and Exchange Commission (SEC) Office of Inspector General (OIG). We appreciate your providing your concerns to us.

Please be advised that the OIG’s primary functions are to perform audits of internal SEC operations, programs, activities, functions and organizations, and to conduct investigations of alleged SEC staff (and contractor) misconduct. Based on our review of the information you have provided to us, your matter does not appear to fall within our jurisdictional purview.

The SEC’s Office of Investor Education and Advocacy (OIEA) is responsible for addressing certain general questions about the securities laws and complaints relating to financial professionals or a complainant’s personal financial matters. We believe that OIEA would be better able to address the issues you raise, and we have forwarded your concerns to that Office for review. You may also contact OIEA directly at [e-mail] and may obtain additional information by visiting http://www.sec.gov/investor.shtml .

Thank you again for contacting the OIG.

Respectfully,



Raphael Kozolchyk,
Inquiry Specialist
Office of Inspector General
U.S. Securities and Exchange Commission
Ph 202.551.6061 | [e-mail]
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From: "\"Help\" <[e-mail]>" <help... [&contactid=1751003341&x=15663994">Edit Address Book]
Subject: SEC Response - File HO::~00160658~::HO [ ref:00D3JxQy.5003G0f9g:ref ]
Date: Sep 20, 2011 1:22 AM
Dear Mr. Hill:

Thank you for your correspondence dated September 3, 2011, which has been forwarded to the Office of Investor Education and Advocacy (OIEA).

We appreciate your alerting us to your concerns regarding Fortress Financial Group. OIEA processes many complaints received from individual investors and others. We keep records of the correspondence we receive in a searchable database that SEC staff may make use of in inspections, examinations, and investigations. In addition, some correspondence received by OIEA is referred directly to other SEC offices and divisions for their review.

The SEC conducts its investigations on a confidential and nonpublic basis and neither confirms nor denies the existence of an investigation unless the SEC brings charges against someone involved. We do this to protect the integrity and effectiveness of our investigative process and to preserve the privacy of the individuals and entities involved. As a result, we will be unable to confirm whether an investigation exists or provide you with any updates on the status of your complaint or of any pending SEC investigation. Information on our policy is enclosed. You may wish to check our website, www.sec.gov, for information about pending SEC civil actions, administrative cases, and other matters.

If you have any questions, please contact me.

Sincerely,

Amy Rosenthal
Investor Assistance Specialist
Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission
[phone]
www.sec.gov

INFORMATION ABOUT SEC INVESTIGATIONS

Each year, thousands of investors ask the Securities and Exchange Commission to investigate the activities of other investors, financial professionals, corporations, brokerage firms, investment companies, stock exchanges, and others. These complaints generally suggest some impropriety or misconduct and sometimes make a plea to the SEC for direct assistance in resolving a grievance.

The SEC has the authority to investigate whether violations of the federal securities laws have occurred, and we make every effort to evaluate promptly and thoroughly the information provided by investors. But we cannot investigate every investor complaint. While many investor complaints do lead to full investigations and, if appropriate, to enforcement actions, we cannot guarantee that our review will lead to further investigation or that the SEC will take any legal action.

We also cannot provide you with updates on the status of your complaint or your request for an investigation. The SEC conducts investigations confidentially for two main reasons. First, we can conduct investigations more effectively if they are not announced publicly. For instance, important documents and evidence can be destroyed quickly if people hear of an investigation. Second, we keep our investigations confidential to protect the reputations of companies and individuals if we find no wrongdoing or decide we cannot bring a successful action against them. The SEC will not confirm or deny the existence of an investigation unless, and until, it becomes a matter of public record as the result of a court action or administrative proceeding.

When there is proof that someone has violated the securities laws, the sanctions may include financial penalties, orders to surrender profits, cease and desist orders, or an injunction by a court to prevent further violations. The SEC may also bar individuals from working for a securities firm, investment adviser, or investment company. We can also ask a federal court to bar individuals from being officers and directors of publicly held companies. In some situations, we may refer a case to the Department of Justice for possible criminal prosecution.

The SEC publishes news releases about its lawsuits and administrative actions, and the news media often report on them. You can read and download the SEC?s ?Enforcement Actions? on our website at www.sec.gov/divisions/enforce/enforceactions.shtml. Or you can obtain hard copies by reviewing ?How to Request Public Documents? at:
http://www.sec.gov/answers/publicdocs.htm
Or
Submit a written request to:
U.S. Securities and Exchange Commission
Office of FOIA/PA Operations
100 F Street N.E.
Washington, DC 20549-2736
Fax: [phone]
Tel: [phone]


ref:00D3JxQy.5003G0f9g:ref
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From: Help <[e-mail]> [Edit Address Book]
Subject: SEC Response
Date: Nov 30, 2011 8:23 AM
Dear Mr Hill,

Thank you for submitting your online contact to the Securities and Exchange Commission's Office of Investor Education and Advocacy. A representative of the Office of Investor Education and Advocacy will respond to you shortly.

In order to ensure that you receive your subscription e-mails and announcements from the SEC, please add us to your contact list, adjust your spam settings, or follow the instructions from your e-mail provider on how to prevent our e-mails from being marked "Spam" or "Junk Mail."

Please do not reply to this message directly.

Thank you,
Office of Investor Education and Advocacy

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From: "\"Help\" <[e-mail]>" <help... [&contactid=1751003341&x=1611822617">Edit Address Book]
Subject: SEC Response - File HO::~00189319~::HO [ ref:_00D30JxQy._50030IXrTb:ref ]
Date: Feb 13, 2012 10:23 AM
Dear Mr. Hill:

Thank you for your recent correspondence to the SEC in further regard to your investment in Fortress Financial Group.

The SEC?s Office of Investor Education and Advocacy (OIEA) processes many comments from individual investors and others. We keep records of the correspondence we receive in a searchable database that SEC staff may make use of in inspections, examinations, and investigations. In addition, some correspondence received by OIEA is referred directly to other SEC offices and divisions for their review. If they have any questions or wish to respond directly to your comments, they will contact you.

Once again, thank you for contacting the SEC.

Sincerely,

Amy Rosenthal
Investor Assistance Specialist
Office of Investor Education and Advocacy
U.S. Securities and Exchange Commission
[phone]
www.sec.gov
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Simply a small sampling of the correspondence with the SEC. Correspondence with the Federal Bureau of Investigation and the National White Collar Crime Center I will not post due to the sensitive nature of the ongoing investigation. We intend to prosecute if Fortress Financial Group does not pay the Dividend. Investment fraud is a minimum of twenty years prison.