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Articles Posted in Promissory Notes

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Steven J. Brewer – South Florida Promissory Note Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

In the Matter of Steven J. Brewer: On July 12, 2013, the Securities and Exchange Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act),…

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Negotiable Instrument – Florida Uniform Commercial Code Litigation and AAA Arbitration Attorney

Negotiable Instrument – South Florida Uniform Commercial Code Litigation and AAA Arbitration Attorney, Russell L. Forkey, Esq. Each state has adopted its own variation of the Uniform Commercial Code.  Florida is no exception.  Florida Statute, Section 673.1041 defines a negotiable instrument to an unconditional promise or order to pay a fixed amount…

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Henry Everette Walker Jr. – Florida Private Placement Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney

Henry Everette Walker Jr. – Registered Principal, Clanton, Alabama: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute…

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James Landon Yarbrough – Clearwater, Florida Unauthorized Loan from Client FINRA, AAA and JAMS Arbitration and Litigation Attorney

James Landon Yarbrough – Clearwater, Florida: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action,…

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Leland Otto Stevens – Tampa, Florida Promissory Note, Unauthorized Outside Business Activity FINRA, AAA and JAMS Arbitration and Litigation Attorney

Leland Otto Stevens – Christiansburg, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action,…

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Timothy Leon Pittman – Miami, Florida Unauthorized Customer Borrowing FINRA, AAA and JAMS Arbitration and Litigation Attorney

Timothy Leon Pittman – Chico, California: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action,…

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David Austin Kembel – South Florida Improper Borrowing Funds From Securities Clients FINRA Arbitration and Litigation Attorney

David Austin Kembel – Roanoke, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action,…

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Steven Vincent Hazard – Hollywood, Florida Promissory Note FINRA, AAA and JAMS Arbitration and Litigation Attorney

Steven Vincent Hazard – Sequim, Washington: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action,…

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Richard Joseph Buswell and Herbert Steven Fouke – Florida Unsecured Bridge Notes, Warrants and Unsecured Promissory Note FINRA, AAA and JAMS Arbitration and Litigation Attorney

Richard Joseph Buswell and Herbert Steven Fouke – Lafayette, Louisiana: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and…

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Jay T. Comeaux – Florida Securities Broker/Dealer Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of Jay T. Comeaux: August, 2012: The Securities and Exchange Commission recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of…

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