John C. Maccoll – High Pressure Sales Primarily Directed at Elder and Retired Clients – South Florida FINRA Arbitration Attorney

Securities and Exchange Commission v. John C. Maccoll, No. 2:18-cv-12473-SFC-DRG (E.D. Michigan filed August 9, 2018) The Securities and Exchange Commission recently charged a former registered representative with defrauding his brokerage customers out of nearly $4...

Kelly Marvin Barnett – Unauthorized Discretion, Unit Investment Trusts – Boca Raton, Florida FINRA Abribration Attorney

Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida): Recently, the Financial Industry Regulatory Authority announced that Kelly Marvin Barnett executed and Acceptance, Waiver and Consent in which Barnett was assessed a deferred fine of $15,000 and suspended from...

Capitol Securities Management, Inc. – Suitability of Short Term Trading of Unit Investment Trusts

Capitol Securities Management, Inc. (CRD #14169, Glen Allen, Virginia) FINRA recently announced that on or about May 25, 2018, Capitol Securities Management, Inc. executed an Acceptance, Waiver and Consent in which the firm was censured, fined $100,000 and...

Unauthorized Trading and Unauthorized Discretion Boca Raton, Florida, FINRA Arbitration Attorney

Unauthorized Trading and Unauthorized Discretion Boca Raton, Florida, FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to...

WFG Investments, Inc. – Fort Lauderdale, Florida Unsuitable, Unauthorized Discretion and Outside Business Activity FINRA Arbitration Attorney

WFG Investments, Inc. – Fort Lauderdale, Florida Unsuitable, Unauthorized Discretion and Outside Business Activity FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility,...

Popular Securities, Inc. n/k/a Popular Securities, LLC – Boca Raton, Florida Puerto Rico Bond and Closed-End-Fund Over Concentration and Unsuitability FINRA Arbitration Attorney

Popular Securities, Inc. n/k/a Popular Securities, LLC – Boca Raton, Florida Puerto Rico Bond and Closed-End-Fund Over Concentration and Unsuitablity FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory...

Mutual Fund – Boca Raton, Florida Mutual Fund Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Mutual Fund Unsuitability and Breach of Fiduciary Duty – Boca Raton, Florida FINRA Arbitration and Litigation Attorney. A mutual fund is a fund operated by an investment company that raises money from shareholders and invests in bonds,...

South Florida Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney

Fort Lauderdale, Boca Raton, Delray Beach, Lantana, Lake Worth and West Palm Beach, Florida Elder Financial Abuse and Exploitation Litigation and FINRA Arbitration Attorney: SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers The Securities...

Dawson James Securities, Inc. – Boca Raton, Florida Broker/Dealer Sales Practice Violations 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...

Russell L. Forkey, P.A.

1075 Broken Sound Parkway NW, Suite 103
Boca Raton, FL 33487

Phone: 561-406-4644
Tollfree: 888-671-0962
Fax: 561-406-4633

Get Answers In A Free Consultation - Get Started Today, Call 561-406-4644 or 888-671-0962