Articles Posted in SEC Enforcement Actions

Municipal Bond Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. November, 2011: UBS Financial Services Inc. (CRD #8174, Weehawken, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $300,000. Without admitting or denying the findings, the firm consented to the…

Florida and Federal Securities and Investment Fraud Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review these actions and provide selective information concerning what we feel relate to important issues or matters that have a wide…

Federal and State Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review these actions and provide selective information concerning what we feel relate to important issues or matters that have…

Florida Securities and Investment Fraud Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review these actions and provide selective information concerning what we feel relate to important issues or matters that have a wide alleged impact…

Fraud, Misrepresentation and Sale of Unregistered Securities State and Federal Court Litigation Attorney, Russell L. Forkey, Esq. The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review these actions and provide selective information concerning what we feel relate to important issues or matters that have a…

Fraud, Misrepresentation and Sale of Unregistered Securities Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review these actions and provide selective information concerning what we feel relate to important issues or matters that have a wide…

Securities Misrepresentation Federal and State Litigation and FINRA Arbitration Lawyer, Russell L. Forkey, Esq. June 28, 2011: SEC v. Michael E. Kelly, et al., Case No. 1:07-CV-4979 in the United States District Court for the Northern District of Illinois Court Enters Final Judgment Against Georgia Resident William K. Boston, Jr., Texas Resident Warren T. Chambers…

Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. June 25, 2011: Approximately, 39,000 investors lose $1.5 billion dollars. Recently, the Securities and Exchange Commission (SEC) announced that it had agreed to accept a settlement proposed by Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and…

Florida Securities Fruad Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. June 3, 2011 Securities and Exchange Commission v. Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC, No. 1:11-cv-580 (W.D. Mich. June 3, 2011) The Securities and Exchange Commission charged Ronald Abernathy and Arthur Weiss with orchestrating a $560,000 securities fraud through their…

Florida Securities Fraud Litigation and Arbitration Attorney Russell L. Forkey, Esq. On this post, the reader will find copies of relevant 2011 State of Florida, Department of Financial Regulation enforcement actions that we believe may be of some interest to investors. Please keep in mind that the documents set forth below are for informational purposes…