Broker/Dealer

CP Capital Securities, Inc. – Hollywood, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney

Published on: August 3, 2014 | By Russell L. Forkey, P.A.

Hollywood, Dania, Fort Lauderdale, Pompano Beach and Deerfield Beach, Florida Improper Markup Corporate Bond 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 FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on 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.

The monthly disciplinary information is referenced on the FINRA 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:

Capital Path Securities, LLC and William John Davis – South Florida AML Red Flag FINRA Enforcement Defense Attorney

Published on: August 3, 2014 | By Russell L. Forkey, P.A.

South Florida AML Red Flag FINRA Enforcement Defense 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 FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on 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.

The monthly disciplinary information is referenced on the FINRA 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:

Registration of Dealers, Associated Persons and Investment Advisers in Florida – South Florida Securities Attorney

Published on: August 1, 2014 | By Russell L. Forkey, P.A.

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida – South Florida Securities Attorney:

Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that:

(1) No dealer, associated person, or issuer of securities shall sell or offer for sale any securities in or from offices in this state, or sell securities to persons in this state from offices outside this state, by mail or otherwise, unless the person has been registered with the Department of Financial Regulation (“office”) pursuant to the provisions of this section. The office shall not register any person as an associated person of a dealer unless the dealer with which the applicant seeks registration is lawfully registered with the office pursuant to this chapter.

Do CFPs Have to Register as an Investment Adviser in Florida – Delary, Deerfield Beach, Boca Raton and Boynton Beach, Florida FINRA Arbitration, Litigation and Elder Abuse Attorney

Published on: August 1, 2014 | By Russell L. Forkey, P.A.

Do CFPs have to register as an Investment Adviser in Florida – Delray, Boynton Beach, Lantana, Boca Raton and West Palm Beach FINRA Arbitration, Litigation and Elder Abuse Attorney:

Any person who for compensation refers, solicits, offers, or negotiates for the purchase or sale of investment advisory services is required to be registered in Florida, regardless of their professional designation as a Investment Adviser and/or Associated Person of a broker/dealer.

Please keep in mind that this information is being provided for informational purposes only. It is not designed to be complete in all material respects. Thus, it should not be relied upon as legal or investment advise. If the reader has any questions relating to this post, you should contact a qualified professional.

Florida’s Requlation D and Rule 506 Offering Requirements – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: August 1, 2014 | By Russell L. Forkey, P.A.

Florida’s Regulation D and Rule 506 Offering Requirements – Boca Raton, Fort Lauderdale and West Palm Beach, Florida Securities Fraud and Misrepresentation FINRA Arbitration, Litigation and Elder Abuse Attorney:

What are Florida’s Regulation D and Rule 506 Offering requirements?

Regulation D and Rule 504 Public Offerings:

Elder and Retirement Financial Abuse – How To Spot Investment Fraud – South Florida FINRA Arbitration and Litigation Attorney

Published on: July 26, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Fort Lauderdale and West Palm Beach, Florida Elder and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney:

Elder and retirees should think twice about investing if you spot any of these red flags of investment fraud:

Limited history of posts. Fraudsters can set up new accounts specifically designed to carry out their scam while concealing their true identities. Be skeptical of information from social media accounts that lack a history of prior postings or sending messages.

Franklin Speight and International Stock Transfer Inc. – South Palm Beach County, Florida Securities Fraud Litigation and Arbitration Attorney

Published on: July 25, 2014 | By Russell L. Forkey, P.A.

South Palm Beach County, Florida Securities and Transfer Agent Fraud and Misrepresentation Litigation and Arbitration Attorney:

Securities and Exchange Commission v. International Stock Transfer Inc and Cecil Frederick Speight, Civil Action No. 14-cv-4435 (ADS) (E.D.N.Y.)

SEC Charges Florida-Based Transfer Agent and Owner with Scheming Investors

FAQ’s Relating to a Brokerage Account Transfer – Boca Raton, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney

Published on: July 5, 2014 | By Russell L. Forkey, P.A.

Fort Lauderdale, Boca Raton and West Palm Beach, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney:

FAQ’s You Should Consider Asking Before You Initiate Your Account Transfer:

Discussing the transfer process with your new firm is the best way to become familiar with the account transfer process. If the answers to your questions are not clear, ask the new firm for a written response. You should ask questions, such as:

Gilford Securities Incorporated – South Florida False or Negligently Prepared Research Reports FINRA Arbitration and Litigation Attorney

Published on: June 29, 2014 | By Russell L. Forkey, P.A.

Miami, Hollywood, Fort Lauderdale and Boca Raton, Florida False and Misleading Research Report 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 FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on 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.

The monthly disciplinary information is referenced on the FINRA 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:

Dawson James Securities, Inc. – Boca Raton, Florida Broker/Dealer Sales Practice Violations FINRA Arbitration and Litigation Attorney

Published on: June 27, 2014 | By Russell L. Forkey, P.A.

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 an enforcement action, firms and licensed individuals have the responsibility to reflect such action on 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.

The monthly disciplinary information is referenced on the FINRA 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:

June 2014 Disciplinary and Other FINRA Actions