He is well-known within the legal and investment communities for his extensive experience handling securities, commodities, precious metals and commercial litigation and arbitration matters. Notably, he is often sought out by other legal professionals to review and dispute decisions made during “binding” arbitration proceedings and has been retained to take these matters through the appellate process. Our law firm is dedicated to protecting clients’ rights at every stage of their case.
Personalized Attention: We understand the significant financial consequences you may be facing, as well as the lasting effects often associated with securities, commodities and precious metals fraud, broker misconduct and other violations. Our legal team is led by attorney Forkey, who takes a personalized approach to every client’s matter. He keeps clients apprised of the progress of their matters and the possible outcome of their cases. His thorough evaluation and extensive experience enable him to anticipate potential complications and take remedial action to deal with them.
As dedicated securities, commodities, precious metals and business dispute attorneys, we select our cases based on their merit, not the amount of the loss. It is for that reason that we attempt to fully analyze the underlying facts of each case before making our recommendation to the client to proceed forward or not. Importantly, over the years, we have come to the conclusion that to enhance your chance of success in a securities, commodities or precious metals case, if possible, your case needs a theme to separate it from a garden-type securities claim. Whether you have lost $25,000 or $2 million, we are dedicated to helping you receive the best possible outcome. Our extensive practice includes guidance and representation for:
Federal and state laws regulate securities transactions and govern investors’ rights against brokers and others. Two principal federal securities laws are the Securities Act of 1933 and the Securities Exchange Act of 1934. The purpose of these laws is to require companies that offer securities to be transparent about the risks of investing and to treat all investors honestly and fairly. These laws are enforced by the Securities Exchange Commission (SEC), which is empowered to bring civil actions against people who break securities laws.
If you have a dispute with a broker dealer, it may be appropriate to submit a claim to be decided by FINRA, a self-regulatory organization that licenses and regulates broker dealers. FINRA operates the largest securities dispute resolution forum and is overseen by the SEC. Arbitration or mediation through FINRA is less expensive than litigation. However, there are situations in which litigation is appropriate. You should consult an experienced South Florida securities litigation attorney about your specific case.
Commodities include material goods such as gold, silver, rare earth, beef, lumber, oil, and grains. When exchange members do not register with the exchange, make false promises of high returns, manipulate the commodities market, perform transactions with no goal except to generate profit, or provide false or misleading information, they may be held accountable for commodities fraud. Most commodities fraud cases involve the precious metals market or churning on the foreign exchange market. Churning occurs when a broker makes trades to maximize the broker’s commissions or provide other financial benefits. For example, if your broker generated false statements that claim to represent investments into the foreign exchange market, while diverting your money for his personal use, he may be held accountable for commodities fraud.
Federal and state court commercial litigation arising from such things as breach of contract, fraud in the inducement, breach of employment, shareholder agreements, and tortious interference with advantageous business relationships.
Unfortunately, aging can come with physical and mental impairments, such as dementia and Alzheimer’s. This can make elderly people more vulnerable to financial fraud. Under Florida Statutes Section 415.1111, a vulnerable person has a civil cause of action for damages, punitive damages, and attorneys’ fees if they have been financially exploited as a vulnerable adult. A vulnerable adult is someone over 18 who cannot provide for their own protection because of the infirmities or mental deterioration that accompanies aging. Exploitation occurs when someone of trust and confidence uses deception or intimidation to permanently deprive someone else of money or property. A vulnerable person or their guardian can bring an elder abuse financial fraud case with the assistance of a securities litigation lawyer in South Florida.
Regulatory Defense
Registered representatives, broker dealers, and registered investment advisers must abide by numerous regulations that govern the financial services industry. The SEC, FINRA, and the Florida Division of Securities issue regulations that affect the industry in South Florida. It can be challenging for advisers and brokers to stay in compliance with these intricate rules. Failing to abide by them, however, can result in regulatory scrutiny, discipline, disclosures, fines, or suspensions. The SEC brings enforcement actions against broker dealers in many situations in which broker dealers have failed to comply with registration provisions and other provisions meant to protect investors. Advisers and brokers should realize that their careers are at risk and retain knowledgeable and experienced counsel.
Mr. Forkey has extensive experience handling arbitration proceedings which are required by the binding arbitration clauses contained in customer agreements between brokerage firms and customers or other business agreements, and has appeared in court on numerous occasions involving securities, precious metals, commodities and commercial litigation.
We urge you to contact us today to schedule your initial free initial consultation to discuss your matter.
We represent clients across the United States.
We return all calls by the end of each business day.
We offer flexible schedules and local home visits by appointment.
Many times it is possible to prepare, file and progress a case up to final hearing without the necessity of a face to face meeting.
