FINRA Arbitration Fraudulent Promissory Note and Negligent Supervision Attorney, Russell L. Forkey, Esq.

August, 2011:

Joseph Andrew Sugg II (CRD #5061692, Registered Representative, Flower Mound, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Sugg consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information concerning his sale of certain promissory notes. The findings stated that despite partially complying with previous requests, Sugg failed to provide the requested information. (FINRA Case #2010025102401).