Selling Away

Sean Donald Premock – Boca Raton, Florida Broker/Dealer and Investment Advisor Outside Business and Selling Away FINRA Arbitration and Litigation Attorney

Published on: November 4, 2012 | By Russell L. Forkey, P.A.

Sean Donald Premock – Fort Lauderdale, 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:

Leland Otto Stevens – Tampa, Florida Promissory Note, Unauthorized Outside Business Activity FINRA, AAA and JAMS Arbitration and Litigation Attorney

Published on: October 24, 2012 | By Russell L. Forkey, P.A.

Leland Otto Stevens – Christiansburg, Virginia:

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:

Ryan Reaume Riley – Key West, Florida Private Securities Transaction and Selling Away FINRA, AAA and JAMS Arbitration and Litigation Attorney

Published on: October 24, 2012 | By Russell L. Forkey, P.A.

Ryan Reaume Riley – Leesburg, Virginia:

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:

Jimmy Wayne Freeman Jr. – Coral Springs, Florida Private Placement and Selling Away FINRA, AAA and JAMS Arbitration and Litigation Attorney

Published on: October 22, 2012 | By Russell L. Forkey, P.A.

Jimmy Wayne Freeman Jr. – Corpus Christi, Texas:

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:

Promissory Note Fraud and Misrepresentation – Bullet Points – South Florida Promissory Note Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: December 31, 2010 | By Russell L. Forkey, P.A.

South Florida Promissory Note Fraud, Misrepresentation, Unregistered Sale of Securities and Unsuitable Investment FINRA Arbitration and Litigation Attorney:

A Brief Description of a Promissory Note and How the Scam Works:

An investment scam that has been gaining in popularity among fraudsters is the sale of promissory notes, especially to seniors. Unlike many investments today, promissory notes sound simple and safe, and appear to be an attractive alternative to volatile stocks and bonds. However, while promissory notes can be legitimate investments, some promissory notes sold widely to individual investors are not. Investors need to be informed and understand the investment they are considering.