Investment Advisor and Broker/Dealer Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Lawyer Russell L. Forkey, Esq. December, 2010: Tyler McKittrick Eddy (CRD #4148945, Registered Rep., New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $200,000 and suspended from association with any FINRA…
Articles Posted in FINRA Enforcement Actions 2010
Dante Thomas Garcia DeMiro (CRD #2674582, Registered Principal, Milford, Michigan)
Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation FINRA Aribtration Attorney, Russell L. Forkey, Esq. December, 2010: Dante Thomas Garcia DeMiro (CRD #2674582, Registered Principal, Milford, Michigan) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in…
Robert Anthony Cataldo (CRD #1056971 Registered Representative, Lexington, Massachusetts)
Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Robert Anthony Cataldo (CRD #1056971, Registered Rep., Lexington, Massachusetts) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.…
Global Strategic Investments, LLC (CRD #117028, Miami, Florida) and Cesar Gabriel Hernandez (Registered Principal, Miami, Florida)
Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Global Strategic Investments, LLC (CRD #117028, Miami, Florida) and Cesar Gabriel Hernandez (CRD #3249722, Registered Principal, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $150,000. Hernandez…
Fox Financial Management Corporation (CRD® #134277, Carrollton, Texas)
Zero Coupon Bond Fraud, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Fox Financial Management Corporation (CRD® #134277, Carrollton, Texas) and James Edward Rooney Jr. (CRD #1857754, Registered Principal, Carrollton, Texas) submitted an Offer of Settlement in which the firm was censured and…
FINRA Enforcement Actions – December, 2010
FINRA Arbitration and Litigation Fraud, Mismanagement, Unsuitability, Negligent Supervision and Selling Away Attorney Attorney, Russell L. Forkey, Esq. December, 2010: Periodically, the Financial Industry Regulatory Authority, Inc. (FINRA) publically announces, on its website, enforcement actions that have either recently been settled by or commenced against broker/dealers and/or associated persons. We…
Jessie Everett Airington (CRD #2097, Registered Principal, Dallas, Texas)
Unauthorized Discretion – Time and Price Discretion FINRA Arbitration and Securities Arbitration Lawyer, Russell L. Forkey, Esq. January, 2010: Jessie Everett Airington (CRD #2097, Registered Principal, Dallas, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member…
TIAA-CREF Individual & Institutional Services, LLC (CRD #20472, NewYork, NewYork)
Private Placement and Variable Annuity Misrepresentation Finra Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. January, 2010 TIAA-CREF Individual & Institutional Services, LLC (CRD #20472, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $100,000. Without admitting or denying the…
Newbridge Securities Corporation (CRD #104065, Fort Lauderdale, Florida)
Private Placement Fraud, Misrepresentation and Negligent Supervision Lawyer, Russell L. Forkey, Esq. November, 2011: Newbridge Securities Corporation (CRD #104065, Fort Lauderdale, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the…
J.J.B. Hilliard,W.L. Lyons, LLC (CRD #453, Louisville, Kentucky)
Theft and Negligent Supervision FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. January, 2010: J.J.B. Hilliard,W.L. Lyons, LLC (CRD #453, Louisville, Kentucky) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $200,000 and required to place $133,817 into a segregated, interest-bearing account for…