Sales of Unregistered Securities

Carolina Financial Securities, LLC – South Florida Private Placement Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Published on: June 25, 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

Your Best Memories and Robert Hurd – South Florida Ponzi Scheme and Securities Fraud FINRA Arbitration and Litigation Attorney

Published on: June 12, 2014 | By Russell L. Forkey, P.A.

South Florida, including Fort Lauderdale, Boynton Beach, West Palm Beach, Boca Raton and Deerfield Beach Ponzi Scheme and Securities Fraud FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Civil Action No. 13-CV-04464-RGK (JCGx) (C.D. Cal. June 20, 2013)

Court Orders California Company and Its President to Pay Over $1.9 Million in Investment Scheme Involving Purported Alzheimer’s Treatment

Gaeton S. Della Penna – South Florida Private Placement and Private Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: May 21, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Boynton Beach, Delray Beach, West Palm Beach, Lantana, Florida Private Placment and Private Investment Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Gaeton S. Della Penna et al., Civil Action No. 8:14-CV-1203T30MAP

The Securities and Exchange Commission recently filed charges against Gaeton “Guy” S. Della Penna of Sarasota, Florida for engaging in a scheme to defraud investors who purchased securities in his private investment funds.

Allen Ross Smith – Prime Bank Scheme and Unregistered Sales of Securities – Fort Lauderdale Securities and Investment Fraud and Misrepresentation Attorney

Published on: May 2, 2014 | By Russell L. Forkey, P.A.

Hollywood, Davie and Fort Lauderdale Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Allen Ross Smith, Civil Action No. 1:14-cv-192 (D.N.H. May 2, 2014)

SEC Charges Florida Lawyer in Connection with Multi-Million Dollar Prime Bank Scheme

James Erwin and Joint Venture Solutions, Inc. – Boca Raton, Florida Unregistered Sales of Securities FINRA Arbitration and Litigation Attorney

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

Boca Raton, Delray Beach, Lantana, Lake Worth, Florida Unregistered Sales of Securities FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.:

Securities and Exchange Commission v. James L. Erwin and Joint Venture Solutions, Inc., Civil Action No. 2:14-cv-623 (D. Nev. April 23, 2014)

SEC Charges Las Vegas Resident and His Company with Securities and Broker-Dealer Registration Violations in Connection with Multi-Million Dollar Prime Bank Schemes

Pyramid Scheme, Ponzi Scheme and Affinity Fraud – South Florida Securities and Elder Abuse and Exploitation Litigation and FINRA Arbitration Attorney

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

Securities and Exchange Commission v. World Capital Market Inc., et al., Civil Action No. CV14-2334-CAS (MRWx)

South Florida Pyramid Scheme, Ponzi Scheme and Affinity Fraud Litigation and Arbitration Attorney:

SEC Halts Los Angeles- and Hong Kong-Based Pyramid Scheme Targeting Asian and Latino Communities

Jason Halek, Joshua Spivey, Patrick Booths and Steven Little – South Florida Oil and Gas Fraud and Sale of Unregistered Securities Litigaiton and Arbitration Attorney

Published on: March 31, 2014 | By Russell L. Forkey, P.A.

Fort Lauderdale, Hollywood, Davie, Pompano Beach, Deerfield Beach, Lighthouse Point and Boca Raton, Florida Oil and Gas Fraud and Sale of Unregistered Securities Litigation and Arbitration Attorney:

Securities and Exchange Commission v. Jason A Halek, Joshua D. Spivey, Patrick J. Booths and Steven J. Little, Civil Action No. 3:14-cv-01106-D (NDTX) (March 28, 2014)

SEC Charges Four Texas Residents for Selling Fradulent Oil and Gas Investments

Harry Shaw Hammond – South Florida Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney

Published on: March 30, 2014 | By Russell L. Forkey, P.A.

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary, Selling Away and Unapproved Outside Business Activity 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:

South Florida Oil and Gas Suitability, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: February 28, 2014 | By Russell L. Forkey, P.A.

South Florida Oil and Gas Suitability, Fraud and Misrepresentation 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:

Jeremy Fisher – Florida Unregistered Securities and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney

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

Securities and Exchange Commission v. Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC, Civil Action No. 3:13-cv-00683 (W.D. Wisc.)

Jeremy Fisher Indicted for Fraud

The Securities and Exchange Commission recently announced today that on February 5, 2014, a Grand Jury in the United States District Court for the Middle District of Florida returned an Indictment charging Jeremy S. Fisher with four counts of wire fraud. The Indictment also seeks forfeiture of property obtained as a result of the alleged criminal violations.