Negligent Supervision

Brent Robert Bishop – West Palm Beach, Florida Theft, Conversion and

Published on: January 20, 2013 | By Russell L. Forkey, P.A.

Brent Robert Bishop – Registered Principal, Tulsa, Oklahoma:

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.

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:

Michelle R. Bennett – Boca Raton, Florida Stock Fraud and Negligent Supervision FINRA Arbitration and Litigation Attorney

Published on: January 20, 2013 | By Russell L. Forkey, P.A.

Michelle R. Bennett – Associated Person, Murfreesboro, Tennessee:

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.

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:

Corey Lamar Battey – South Florida Broker/Dealer Negligent Supervision FINRA Arbitration and Litigation Attorney

Published on: January 20, 2013 | By Russell L. Forkey, P.A.

Corey Lamar Battey – Registered Representative, Clermont, 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 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.

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:

Edward D. Jones & Co., L.P. d/b/a Edward Jones – Florida Fixed Income Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Published on: December 12, 2012 | By Russell L. Forkey, P.A.

Edward D. Jones & Co., LP. d/b/a Edward Jones – St. Louis, Missouri:

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.

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:

Freedom Investors Corp., Joel Reid Blumenschein and Gary Lee Gossett – Florida Penny Stock Fraud, Breach of Fiduciary and Breach of Heightened Supervision FINRA Arbitration and Litigation Attorney

Published on: December 12, 2012 | By Russell L. Forkey, P.A.

Freedom Investors Corp. – Brookfield, Wisconsin, Joel Reid Blumenschein – Pewaukee, Washington and Gary Lee Gossett – Spokane, 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 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.

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:

Ultralat Capital Markets, Inc. – Miami, Florida Broker/Dealer Negligent Supervision FINRA Arbitration and Litigation Attorney

Published on: October 26, 2012 | By Russell L. Forkey, P.A.

Ultralat Capital Markets, Inc. – Miami, 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 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.

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

Stifel, Nicolaus & Company, Incorporated – Fort Lauderdale, Florida Broker/Dealer Negligent Supervision FINRA, AAA and JAMS Arbitration and Litigation Attorney

Published on: October 26, 2012 | By Russell L. Forkey, P.A.

Stifel, Nicolaus & Company, Incorporated – St. Louis, Missouri:

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.

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