South Florida Arbitration & Litigation Lawyer Blog
Florida Securities Fraud FINRA Arbitration, Federal and State Court Litigation Attorney, Russell L. Forkey, Esq.
Periodically, the Office of Financial Regulation of the State of Florida (OFR) publishes the results of the settlement and/or decisions in administrative actions brought against brokerage firms, associated persons, investment advisors and others as part of its responsibility to enforce the securities laws, rules and regulations of the state. Periodically, we will review these administrative determinations and provide information that we deem relevant for investors. This list will not be complete. It is being provided for informational purposes only. If you would like to review the complete data basis of administrative decisions published by the OFR, please follow the highlighted link.
The actions set forth below, will be organized alphabetically by first name followed by the date of the decision. To view the final administrative action, please follow the highlighted link.
Actions:
Absolute Wealth Advisors, Inc. (11/29/2011). Read More.
Adam Schachter. (6/21/2011). Read More.
Amrish Bhuta. (10/21/2011). Read More.
Andrew Greep. (10/21/2011). Read More.
BNY Mellon Capital Markets. (12/22/2011). Read More.
Charles Sober. (7/26/11). Read More.
Chase Investment Services Corp. (10/14/2011). Read More.
Christopher DeWolfe. (6/21/2011). Read More.
Craig Stern. (6/21/11). Read More.
Dagel Financial Inc. (7/18/11) Read More.
Daniel Hepworth, (6/21/11) Read More.
Daniel Korte. (10/14/2011). Read More.
David Howard Fagenson (CRD# 1652012), currently licensed with UBS Financial Services. (4/12/11). Read More.
Dawn Litchfield. (7/6/2011). Read More.
Dennis Nelson (7/6/2011). Read More.
Donald Anthony Wojnowski. (11/21/2011). Read More.
Fosth Accounting, P.A. (10/24/2011). Read More.
Francis Burden. (6/21/21/2011). Read More.
Frank Rambusch. (11/17/2011). Read More.
Gerald Kessler. (6/21/2011). Read More.
Gerardo Acevedo (11/29/2011). Read More.
Goldman, Sachs. (11/3/2011). Read More.
Intersecurities, Inc. (8/2/2011). Read More.
Jack Owens. (11/17/2011). Read More.
James David Dean, Sr. (10/25/2011). Read More.
James Earl Williams. (12/29/2011). Read More.
James Pulver. (12/2/2011). Read More.
Jeffrey Harold Leach (CRD# 3231849), currently licensed with Morgan Stanley Smith Barney. (3/24/11) Read More.
John Mark Ostrowski. (10/2/2011). Read More.
Joseph Bivona. (6/21/2011). Read More.
Joseph Blissit. (6/21/2011). Read More.
Julio Diaz. (10/14/2011). Read More.
Keith Fern. (11/17/2011). Read More.
Peter Hart. (6/21/2011). Read More.
Wells Fargo Advisors, LLC. (CRD No. 19616), Veronica Patricia McLeod (CRD No. 2960834), Raymond Charles Gibson (CRD No. 25000690), Richard Jeffrey Kahn (CRD No. 2269482), Josepha Blissit, Jr. (CRD No. 1364988), Peter Hart (CRD No. 238684), Daniel R. Hepworth (CRD No. 4873335), Francis G. Burden (CRD No. 1759944), Craig E. Stern (CRD No. 4595456), Christopher C. DeWolff, Jr. (CRD No. 2687260), Peter Smith (CRD. No. 872534), Joseph Bivona (CRD No. 727964), Gerald Paul Kessler (CRD No. 269664) and Adam Craig Schachter (CRD No. 2487626). Read More.
Dagel Financial, Inc., a registered investment advisor (7/18/11). Read More.
Dawn Perniciaro Litchfield (7/6/11). Read More.
Dennis David Nelson (7/6/11). Read More.
Intersecurities, Inc., n/k/a Transamerica Financial Advisors, Inc. (8/2/11). Read More.
Jack Chublakian, CRD# 1466485 (7/14/11). Read More.
LASHBROOK FINANCIAL ADVISORS, P.A. (7/18/11). Read More.
Multiplicas Secnrities, Inc. (8/10/11).
Priebe Investment Plans, Inc. (8/2/11). Read More.
Raymond James & Associates, Inc. (6/29/11). Read More.
Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. (6/29/11). Read More.