Articles Posted in Due Diligence

Harold Connell – Private Placement Memorandums – Undisclosed Self-Dealing – Unregistered Regulation D Offerings – Boca Raton, Florida FINRA Arbitration Attorney

Published on: September 3, 2018 | By Russell L. Forkey, P.A.

Harold Connell – Private Placement Memorandums – Undisclosed Self-Offerings – Unregistered Regulation D Offerings – Fraud, Deceit and Misrepresentation – Boca Raton, Florida Finra Arbitration Attorney

Harold Lee Connell (CRD #1482623, Pinecrest, Florida)

Recently, the Financial Industry Regulatory Authority announced that Harold Lee Connell entered into an Acceptance, Waiver and Consent which barred Connell from association with any FINRA member in all capacities. Without admitting or denying the findings, Connell consented to the sanction and to the entry of findings that he willfully violated Section 10(b) of the Exchange Act and Rule 10b-5, and FINRA Rules 2010 and 2020 by participating in the sale of three unregistered Regulation D offerings through misrepresentations and omissions.

Underwriter Due Diligence – Fact or Fiction – Boca Raton, Florida Fraudulent Underwriting Attorney

Published on: March 30, 2015 | By Russell L. Forkey, P.A.

Underwriter Due Diligence – Fact or Fiction – Boca Raton, Florida Fraudulent Underwriting Attorney

Securities and Exchange Commission v. Macquarie Capital (USA) Inc. et al., Civil Action No. 15-CV-02304

SEC Charges New York-Based Brokerage Firm with Faulty Underwriting of Public Offering by China-Based Company