On behalf of Russell L. Forkey, P.A. | Dec 23, 2013 | Commercial and Business Dispute Litigation, False and Misleading Sales Material, Federal Litigation, FINRA Arbitration, Fraud and Misrepresentation, Investment Advisor, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
Florida Investment Advisor and Broker/Dealer False and Misleading Offering and Promotional Materials Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Patrick G. Rooney and Solaris Management, LLC, Civil...
On behalf of Russell L. Forkey, P.A. | Dec 23, 2013 | Commercial and Business Dispute Litigation, False and Misleading Sales Material, Federal Litigation, FINRA Arbitration, Fraud and Misrepresentation, Investor Alerts, Ponzi Scheme News, Sales of Unregistered Securities, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation, State Litigation
Offer and sale of securities sold in violation of the registration provisions of Section 5 of the Securities Act of 1933 – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney: Securities and Exchange Commission v. Dawn...
On behalf of Russell L. Forkey, P.A. | Dec 20, 2013 | Breach of Fiduciary Duty, Broker/Dealer, Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
South Florida Transaction Markup, Markdown and Other Cost Fraud, Misrepresentation, Nondisclosure, Breach of Fiduciary Duty and False Disclosure FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced fraud charges...
On behalf of Russell L. Forkey, P.A. | Dec 17, 2013 | Breach of Fiduciary Duty, Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, Investment Advisor, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
South Florida Investment Advisor Fraud, Breach of Contract, Breach of Fiduciary Duty and Mismanagement Litigation and Arbitration Attorney: The Securities and Exchange Commission recently charged the managing partners of a Charlotte, N.C.-based investment advisory...
On behalf of Russell L. Forkey, P.A. | Dec 17, 2013 | Accounting Fraud, Breach of Contract, Breach of Fiduciary Duty, Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
South Florida Accounting, Fraud, Negligence, Breach of Contract and Misrepresentation Litigation and Arbitration Attorney: Securities and Exchange Commission v. Michael H. Taber, CPA, Civil Action No. 13-mc-0282 (S.D.N.Y. filed Aug. 8, 2013) SEC Awarded $400,000 in...
On behalf of Russell L. Forkey, P.A. | Dec 16, 2013 | Broker/Dealer, Commercial and Business Dispute Litigation, FINRA, Fraud and Misrepresentation, Promissory Notes, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
South Florida Prime Bank and Overseas Debt Instruments Fraud and Misrepresentation Litigation and Arbitration Attorny: Securities and Exchange Commission v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, et al., Civil Action No. 2:13-cv-2280 (D. Nev. Dec. 16,...
On behalf of Russell L. Forkey, P.A. | Dec 16, 2013 | Breach of Contract, Breach of Fiduciary Duty, Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, Oil and Gas Fraud, Private Placements / Direct Investments, Sales of Unregistered Securities, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
South Florida Unregistered Securities, Joint Venture and Securities Misrepresentation and Litigation Attorney: Securities and Exchange Commission v. Arcturus Corporation, et al., Civil Action No. Civ. Action No. 3:13-cv-04861-K (N.D. Tex., Dallas Division, filed...
On behalf of Russell L. Forkey, P.A. | Dec 6, 2013 | Broker/Dealer, Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, Limited Partnership Fraud and Mismanagement, Oil and Gas Fraud, Ponzi Scheme News, Sales of Unregistered Securities, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
Florida Oil and Gas Fruad, Misrepresentation and Ponzi Scheme Litigation and Arbitration Attorney: The Securities and Exchange Commission recently announced charges and an emergency asset freeze against the perpetrators of a Texas-based Ponzi scheme involving...
On behalf of Russell L. Forkey, P.A. | Nov 25, 2013 | Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, Penny Stock Fraud, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
The Securities and Exchange Commission recently charged a New York-based penny stock financier and his firms with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed to register them before they were...
On behalf of Russell L. Forkey, P.A. | Nov 25, 2013 | Commercial and Business Dispute Litigation, FINRA Arbitration, Fraud and Misrepresentation, SEC Enforcement Actions, SEC Enforcement Actions 2013, Securities and Securities Fraud, Securities Litigation
Securities and Exchange Commission v. Charles H. Merchant, Sr. and Southern USA Resources, Inc., Civil Action No. 1:13-cv-3879-SCJ (N.D. Ga.) SEC Charges Alabama Based Defendants with Securities Fraud and Reporting Violations Recently, the Securities and Exchange...
