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        <title><![CDATA[FINRA Enforcement Actions 2012 - Russell L. Forkey]]></title>
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        <link>https://www.forkeylaw.com/blog/categories/finra-enforcement-actions-2012/</link>
        <description><![CDATA[Russell L. Forkey's Website]]></description>
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                <title><![CDATA[Manhattan Beach Trading Financial Services dba MB Trading – South Florida Negligent Supervision FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/manhattan_beach_trading_financial_services_dba_mb_trading_-_south_florida_negligent_supervision_finr/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/manhattan_beach_trading_financial_services_dba_mb_trading_-_south_florida_negligent_supervision_finr/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Thu, 04 Jul 2013 23:33:32 GMT</pubDate>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[Commercial and Business Dispute Litigation]]></category>
                
                    <category><![CDATA[FINRA Arbitration]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Negligent Supervision]]></category>
                
                    <category><![CDATA[Securities Litigation]]></category>
                
                
                
                
                <description><![CDATA[<p>Manhattan Beach Trading Financial Services dba MB Trading – South Florida Negligent Supervision FINRA Arbitration and Litigation Attorney: 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&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Manhattan Beach Trading Financial Services dba MB Trading – South Florida Negligent Supervision FINRA Arbitration and Litigation Attorney:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>July 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010023995101 </strong>– In July of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that <strong></strong>submitted a Letter of Acceptance, Waiver and Consent in which the firm Manhattan Beach Trading Financial Services, Inc. dba MB Trading (CRD #30330, El Segundo, California) was censured and fined $125,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of various findings, including that the firm opened accounts for foreign persons, who after opening the accounts, engaged in a pattern of fraudulent trading through the firm’s direct market access (DMA) trading platform and that without permission, the foreign persons improperly accessed unsuspecting customers’ accounts held at other online broker-dealers, and engaged in a short-sale transaction scheme that guaranteed large profits in their accounts while causing losses in the unsuspecting customers’ outside accounts. The findings also stated that the firm had inadequate written policies and procedures for opening new accounts and did not properly train its new accounts staff to review reports generated by an outside vendor the firm had retained to provide customer identification services.  In order to view a copy of the full release, please follow the above referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Fort Lauderdale, Florida False and Misleading Sales Material FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/fort_lauderdale_florida_false_and_misleading_sales_material_finra_arbitration_and_litigation_attorne/</link>
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                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sat, 27 Apr 2013 23:45:58 GMT</pubDate>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[False and Misleading Sales Material]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                
                
                
                <description><![CDATA[<p>Hedge Fund Capital Partners, LLC. and Howard Gordon Jahre, Registered Principal, New York, New York: 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&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Hedge Fund Capital Partners, LLC. and Howard Gordon Jahre, Registered Principal, New York, New York:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>July 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2006004122402 </strong>– In July of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Hedge Fund Capital Partners, LLC was expelled from FINRA membership and Howard Gordon Jahre was barred from association with any FINRA Member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Boca Raton, Florida, Unregistered Broker – Dealer Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/boca_raton_florida_unregistered_broker_-_dealer_fraud_and_misrepresentation_finra_arbitration_and_li/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/boca_raton_florida_unregistered_broker_-_dealer_fraud_and_misrepresentation_finra_arbitration_and_li/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sat, 27 Apr 2013 23:23:53 GMT</pubDate>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                    <category><![CDATA[Securities and Securities Fraud]]></category>
                
                
                
                
                <description><![CDATA[<p>Genesis Securities, LLC. (New York, New York) and William Chingwen Yeh, Registered Principal, Oyster Bay, New York: 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&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Genesis Securities, LLC. (New York, New York) and William Chingwen Yeh, Registered Principal, Oyster Bay, New York:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>July 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2009021082501 </strong>– In July of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Genesis Securities, LLC. and Chingwen Yeh submitted an Offer of Settlement in which the firm was expelled from FINRA membership and Yen was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Henry Everette Walker Jr. – Florida Private Placement Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/henry_everette_walker_jr_-_florida_private_placement_fraud_misrepresentation_and_mismanagement_litig/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/henry_everette_walker_jr_-_florida_private_placement_fraud_misrepresentation_and_mismanagement_litig/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Wed, 27 Feb 2013 11:08:28 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Private Placements / Direct Investments]]></category>
                
                    <category><![CDATA[Private Securities Transactions]]></category>
                
                    <category><![CDATA[Promissory Notes]]></category>
                
                
                
                
                <description><![CDATA[<p>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 and enforcement action, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Henry Everette Walker Jr. – Registered Principal, Clanton, Alabama:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010020829802 </strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Eenry Everette Walker Jr. submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Scott Douglas Stephenson – Florida Misappropriation of Funds FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/scott_douglas_stephenson_-_florida_misappropriation_of_funds_finra_arbitration_and_litigation_attorn/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/scott_douglas_stephenson_-_florida_misappropriation_of_funds_finra_arbitration_and_litigation_attorn/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Wed, 27 Feb 2013 10:53:43 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Theft]]></category>
                
                    <category><![CDATA[Unauthorized Loan]]></category>
                
                
                
                
                <description><![CDATA[<p>Scott Douglas Stephenson – Registered Representative, Grants Pass, Oregon: 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Scott Douglas Stephenson – Registered Representative, Grants Pass, Oregon:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010025769101 </strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Scott Douglas Stephenson submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Edward Antonio Salazar aka Ted Salazar – South Florida Bonded Life Settlement Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/edward_antonio_salazar_aka_ted_salazar_-_south_florida_bonded_life_settlement_misrepresentation_and/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/edward_antonio_salazar_aka_ted_salazar_-_south_florida_bonded_life_settlement_misrepresentation_and/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Tue, 26 Feb 2013 12:00:05 GMT</pubDate>
                
                    <category><![CDATA[Annuity]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Insurance Fraud]]></category>
                
                    <category><![CDATA[Unapproved Outside Business Activity]]></category>
                
                
                
                
                <description><![CDATA[<p>Edward Antonio Salazar aka Ted Salazar – Registered Representative, Houston, Texas: 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,&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Edward Antonio Salazar aka Ted Salazar – Registered Representative, Houston, Texas:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010022405601 </strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Edward Antonio Salazar aka Ted Salazar was filed $30,000, suspended from association with any FINRA member in any capacity for 13 months and ordered to pay $1.3 million, plus interest, as restitution, and $77,000 in disgorgement of his commissions on the transactions. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Enrique Roy – Miami Beach Florida Outside Business Acitivity FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/enrique_roy_-_miami_beach_florida_outside_business_acitivity_finra_arbitration_and_litigation_attorn/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/enrique_roy_-_miami_beach_florida_outside_business_acitivity_finra_arbitration_and_litigation_attorn/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Tue, 26 Feb 2013 11:38:16 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Unapproved Outside Business Activity]]></category>
                
                
                
                
                <description><![CDATA[<p>Enrique Roy – Registered Representative, Miami Beach, 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, firms and licensed&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Enrique Roy – Registered Representative, Miami Beach, Florida:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010023375101 </strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Enrique Roy was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Marty Edward Paul – Florida Unauthorized Outside Business Activity FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/marty_edward_paul_-_florida_unauthorized_outside_business_activity_finra_arbitration_and_litigation/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/marty_edward_paul_-_florida_unauthorized_outside_business_activity_finra_arbitration_and_litigation/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Tue, 26 Feb 2013 01:19:04 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Selling Away]]></category>
                
                    <category><![CDATA[Unapproved Outside Business Activity]]></category>
                
                    <category><![CDATA[Unauthorized Loan]]></category>
                
                
                
                
                <description><![CDATA[<p>Marty Edward Paul – Registered Supervisor, Gig Harbor, 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Marty Edward Paul – Registered Supervisor, Gig Harbor, Washington:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010024106101</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Marty Edward Paul submitted a Letter of Acceptance, Waiver and Consent in which he was fined $20,000 and suspended from association with any FINRA member in any capacity for one year. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[James Stuart Nesbit – Florida Improper Commission Payment FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/james_stuart_nesbit_-_florida_improper_commission_payment_finra_arbitration_and_litigation_attorney/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/james_stuart_nesbit_-_florida_improper_commission_payment_finra_arbitration_and_litigation_attorney/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Tue, 26 Feb 2013 01:05:40 GMT</pubDate>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                
                
                
                <description><![CDATA[<p>James Stuart Nesbit – Registered Representative, Virginia Beach, 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>James Stuart Nesbit – Registered Representative, Virginia Beach, Virginia:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010021888201</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that James Stuart Nesbit submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Rita Elizabeth Murry – Florida Broker/Dealer and Registered Representative FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/rita_elizabeth_murry_-_florida_brokerdealer_and_registered_representative_finra_arbitration_and_liti/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/rita_elizabeth_murry_-_florida_brokerdealer_and_registered_representative_finra_arbitration_and_liti/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Mon, 25 Feb 2013 01:14:59 GMT</pubDate>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                
                
                
                <description><![CDATA[<p>Rita Elizabeth Murray – Registered Representative, Larchmont, New York: 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Rita Elizabeth Murray – Registered Representative, Larchmont, New York:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2011029791101</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Rita Elizabeth Murray submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Thomas Edward Kelly – Florida Selling Away and Unapproved Outside Business Activity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/thomas_edward_kelly_-_florida_selling_away_and_unapproved_outside_business_activity_fraud_and_misrep/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/thomas_edward_kelly_-_florida_selling_away_and_unapproved_outside_business_activity_fraud_and_misrep/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Mon, 25 Feb 2013 01:03:55 GMT</pubDate>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                    <category><![CDATA[Private Securities Transactions]]></category>
                
                    <category><![CDATA[Sales of Unregistered Securities]]></category>
                
                    <category><![CDATA[Selling Away]]></category>
                
                    <category><![CDATA[Unapproved Outside Business Activity]]></category>
                
                
                
                
                <description><![CDATA[<p>Thomas Edward Kelly – Registered Principal, Johnson City, New York: 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, firms&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Thomas Edward Kelly – Registered Principal, Johnson City, New York:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010025344701</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Thomas Edward Kelly submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[James Coy Keene – Form U4 and U5 Material Misstatement and Omission FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/james_coy_keene_-_form_u4_and_u5_material_misstatement_and_omission_finra_arbitration_and_litigation/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/james_coy_keene_-_form_u4_and_u5_material_misstatement_and_omission_finra_arbitration_and_litigation/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Mon, 25 Feb 2013 00:53:43 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                
                
                
                <description><![CDATA[<p>James Coy Keene – Registered Representative, Dallas, Texas: 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, firms and licensed&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>James Coy Keene – Registered Representative, Dallas, Texas:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 20111028100801</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that James Coy Keene submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Alison Marie Janke – Florida Securities and Investment Unapproved Loan FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/alison_marie_janke_-_florida_securities_and_investment_unapproved_loan_finra_arbitration_and_litigat/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/alison_marie_janke_-_florida_securities_and_investment_unapproved_loan_finra_arbitration_and_litigat/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sun, 27 Jan 2013 23:16:26 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Negligent Supervision]]></category>
                
                    <category><![CDATA[Unauthorized Loan]]></category>
                
                
                
                
                <description><![CDATA[<p>Alison Marie Janke – Registered Representative, Port Richey, 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Alison Marie Janke – Registered Representative, Port Richey, Florida:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2011027400401</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Alison Marie Janke submitted a Letter of Acceptance, Waiver and Consent in which she was fined $7,500 and suspended from association with any FINRA member in any capacity for six months.  In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Brett Henderson – Florida Variable Annuity Switch and Surrender Mismanagement FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/brett_henderson_-_florida_variable_annuity_switch_and_surrender_mismanagement_finra_arbitration_and/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/brett_henderson_-_florida_variable_annuity_switch_and_surrender_mismanagement_finra_arbitration_and/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sun, 27 Jan 2013 22:59:49 GMT</pubDate>
                
                    <category><![CDATA[Annuity]]></category>
                
                    <category><![CDATA[Broker/Dealer]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                    <category><![CDATA[Insurance Fraud]]></category>
                
                    <category><![CDATA[Negligent Supervision]]></category>
                
                
                
                
                <description><![CDATA[<p>Brett Henderson – Registered Representative, North Salt Lake City, Utah: 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, firms&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Brett Henderson – Registered Representative, North Salt Lake City, Utah:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2011028801901</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Brett Henderson submitted an Offer of Settlement in which he was fined $95,000, which includes restitution of $82,505 payable to customers, and suspended from association with any FINRA member in any capacity for 11 months.  In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Sean K. Hannon – Boca Raton, Florida Securities and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/sean_k_hannon_-_boca_raton_florida_securities_and_investment_fraud_and_misrepresentation_litigation/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/sean_k_hannon_-_boca_raton_florida_securities_and_investment_fraud_and_misrepresentation_litigation/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sun, 27 Jan 2013 22:51:32 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                    <category><![CDATA[Negligent Supervision]]></category>
                
                    <category><![CDATA[Securities and Securities Fraud]]></category>
                
                
                
                
                <description><![CDATA[<p>Sean K. Hannon – Registered Representative, Cary, North Carolina: 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Sean K. Hannon – Registered Representative, Cary, North Carolina:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010022695501</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Sean K. Hannon submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.  In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Thomas Brown Hammond – Florida Theft and Securities Fraud and Misrepresentation FINRA Arbitration and State and Federal Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/thomas_brown_hammond_-_florida_theft_and_securities_fraud_and_misrepresentation_finra_arbitration_an/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/thomas_brown_hammond_-_florida_theft_and_securities_fraud_and_misrepresentation_finra_arbitration_an/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sun, 27 Jan 2013 22:41:07 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                    <category><![CDATA[Private Securities Transactions]]></category>
                
                    <category><![CDATA[Securities and Securities Fraud]]></category>
                
                    <category><![CDATA[Selling Away]]></category>
                
                    <category><![CDATA[Theft]]></category>
                
                    <category><![CDATA[Unapproved Outside Business Activity]]></category>
                
                
                
                
                <description><![CDATA[<p>Thomas Brown Hammond – Registered Representative, Fair Oaks, 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Thomas Brown Hammond – Registered Representative, Fair Oaks, California:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2011026683401</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Thomas Brown Hammond submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[John Brady Guyette – Florida Private Placement Securities Fraud, Misrepresentation and Due Diligence FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/john_brady_guyette_-_florida_private_placement_securities_fraud_misrepresentation_and_due_diligence/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/john_brady_guyette_-_florida_private_placement_securities_fraud_misrepresentation_and_due_diligence/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Sun, 27 Jan 2013 22:18:35 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Private Placements / Direct Investments]]></category>
                
                
                
                
                <description><![CDATA[<p>John Brady Guyette – Registered Principal, Greeley, Colorado: 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, firms and licensed&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>John Brady Guyette – Registered Principal, Greeley, Colorado:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2009018819001</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that John Brady Guyette was fined a total of $86,140, which includes disgorgement of $76,140 in commissions, and suspended from association with any FINRA member in any capacity for 12 months. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Thomas Shannon Ensign – Florida Investment and Stock Breach of Fiduciary Duties and Negligence FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/thomas_shannon_ensign_-_florida_investment_and_stock_breach_of_fiduciary_duties_and_negligence_finra/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/thomas_shannon_ensign_-_florida_investment_and_stock_breach_of_fiduciary_duties_and_negligence_finra/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Mon, 21 Jan 2013 01:20:39 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Other Types of Fraudulent Activity]]></category>
                
                
                
                
                <description><![CDATA[<p>Thomas Shannon Ensign – Registered Representative, Delaware, Ohio: 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, firms and licensed&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Thomas Shannon Ensign – Registered Representative, Delaware, Ohio:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010023927101</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Thomas Shannon Ensign submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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            <item>
                <title><![CDATA[Kenneth Richard Doctor – Florida Variable Annuity or Fixed Income Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/kenneth_richard_doctor_-_florida_variable_annuity_or_fixed_income_annuity_fraud_and_misrepresentatio/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/kenneth_richard_doctor_-_florida_variable_annuity_or_fixed_income_annuity_fraud_and_misrepresentatio/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Mon, 21 Jan 2013 01:10:30 GMT</pubDate>
                
                    <category><![CDATA[Annuity]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[News of Interest to Seniors]]></category>
                
                
                
                
                <description><![CDATA[<p>Kenneth Richard Doctor – Registered Representative, Muskegon, Michigan: 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, firms and licensed&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Kenneth Richard Doctor – Registered Representative, Muskegon, Michigan:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2011026123501</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Kenneth Richard Doctor submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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                <title><![CDATA[Gary Lee Cousino – Florida Securities Unauthorized Trade, Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney]]></title>
                <link>https://www.forkeylaw.com/blog/gary_lee_cousino_-_florida_securities_unauthorized_trade_unsuitability_and_breach_of_fiduciary_duty/</link>
                <guid isPermaLink="true">https://www.forkeylaw.com/blog/gary_lee_cousino_-_florida_securities_unauthorized_trade_unsuitability_and_breach_of_fiduciary_duty/</guid>
                <dc:creator><![CDATA[Russell L. Forkey]]></dc:creator>
                <pubDate>Mon, 21 Jan 2013 00:59:31 GMT</pubDate>
                
                    <category><![CDATA[FINRA Enforcement Actions]]></category>
                
                    <category><![CDATA[FINRA Enforcement Actions 2012]]></category>
                
                    <category><![CDATA[Fraud and Misrepresentation]]></category>
                
                    <category><![CDATA[Unauthorized Trading]]></category>
                
                
                
                
                <description><![CDATA[<p>Gary Lee Cousino – Registered Representative, Mackinac Island, Michigan: 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, firms and&hellip;</p>
]]></description>
                <content:encoded><![CDATA[

<p><strong>Gary Lee Cousino – Registered Representative, Mackinac Island, Michigan:</strong></p>


<p>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, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.</p>


<p>The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:</p>


<p><strong>June 2012 Disciplinary and Other FINRA Actions</strong></p>


<p>Broker Check: <a href="http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/" rel="noopener noreferrer" target="_blank">http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/</a></p>


<p><strong>FINRA Case No. 2010023057601</strong>– In June of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Gary Lee Cousino submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In order to view a copy of the full release, please follow above the referenced links.</p>


<p><strong>Contact Us:</strong></p>


<p>With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S. banks or brokerage firms. Contact us to arrange your free initial consultation.</p>


<p>At the Fort Lauderdale Law Office of Russell L. Forkey, we represent clients throughout South and Central Florida, including Fort Lauderdale, West Palm Beach, Boca Raton, Sunrise, Plantation, Coral Springs, Deerfield Beach, Pompano Beach, Delray, Boynton Beach, Hollywood, Lake Worth, Royal Palm Beach, Manalapan, Jupiter, Gulf Stream, Wellington, Fort Pierce, Stuart, Palm City, Jupiter, Miami, Orlando, Maitland, Winter Park, Altamonte Springs, Lake Mary, Heathrow, Melbourne, Palm Bay, Cocoa Beach, Vero Beach, Daytona Beach, Deland, New Smyrna Beach, Ormand Beach, Broward County, Palm Beach County, Dade County, Orange County, Seminole County, Martin County, Brevard County, Indian River County, Volusia County and Monroe County, Florida. The law office of Russell L. Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms.</p>


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