Most Recent State of Florida Enforcement Actions

Florida Securities Fraud FINRA Arbitration, Federal and State Court Litigation Attorney, Russell L. Forkey, Esq.

Periodically, the Office of Financial Regulation of the State of Florida (OFR) publishes the results of the settlement and/or decisions in administrative actions brought against brokerage firms, associated persons, investment advisors and others as part of its responsibility to enforce the securities laws, rules and regulations of the state. Periodically, we will review these administrative determinations and provide information that we deem relevant for investors. This list will not be complete. It is being provided for informational purposes only. If you would like to review the complete data basis of administrative decisions published by the OFR, please follow the highlighted link.

The actions set forth below, will be organized alphabetically by first name followed by the date of the decision. To view the final administrative action, please follow the highlighted link.

Actions:

Absolute Wealth Advisors, Inc. (11/29/2011)

Adam Schachter. (6/21/2011).

Amrish Bhuta. (10/21/2011).

Andrew Greep. (10/21/2011).

BNY Mellon Capital Markets.

Charles Sober. (7/26/11).

Chase Investment Services Corp.

Christopher DeWolfe.

Craig Stern. (6/21/11).

Dagel Financial Inc. (7/18/11)

Daniel Hepworth, (6/21/11)

Daniel Korte. (10/14/2011).

David Howard Fagenson (CRD# 1652012), currently licensed with UBS Financial Services. (4/12/11).

Dawn Litchfield. (7/6/2011).

Dennis Nelson (7/6/2011).

Donald Anthony Wojnowski. (11/21/2011).

Fosth Accounting, P.A. (10/24/2011).

Francis Burden. (6/21/21/2011).

Frank Rambusch. (11/17/2011).

Gerald Kessler. (6/21/2011).

Gerardo Acevedo (11/29/2011).

Goldman, Sachs. (11/3/2011).

Intersecurities, Inc. (8/2/2011).

Jack Owens. (11/17/2011).

James David Dean, Sr. (10/25/2011).

James Earl Williams. (12/29/2011).

James Pulver. (12/2/2011).

Jeffrey Harold Leach (CRD# 3231849), currently licensed with Morgan Stanley Smith Barney. (3/24/11) Read More.

John Mark Ostrowski. (10/2/2011).

Joseph Bivona. (6/21/2011).

Joseph Blissit. (6/21/2011).

Julio Diaz. (10/14/2011).

Keith Fern. (11/17/2011).

Peter Hart. (6/21/2011).

Wells Fargo Advisors, LLC. (CRD No. 19616), Veronica Patricia McLeod (CRD No. 2960834), Raymond Charles Gibson (CRD No. 25000690), Richard Jeffrey Kahn (CRD No. 2269482), Josepha Blissit, Jr. (CRD No. 1364988), Peter Hart (CRD No. 238684), Daniel R. Hepworth (CRD No. 4873335), Francis G. Burden (CRD No. 1759944), Craig E. Stern (CRD No. 4595456), Christopher C. DeWolff, Jr. (CRD No. 2687260), Peter Smith (CRD. No. 872534), Joseph Bivona (CRD No. 727964), Gerald Paul Kessler (CRD No. 269664) and Adam Craig Schachter (CRD No. 2487626).

Dagel Financial, Inc., a registered investment advisor (7/18/11).

Dawn Perniciaro Litchfield (7/6/11).

Dennis David Nelson (7/6/11).

Intersecurities, Inc., n/k/a Transamerica Financial Advisors, Inc. (8/2/11).

Jack Chublakian, CRD# 1466485 (7/14/11).

LASHBROOK FINANCIAL ADVISORS, P.A. (7/18/11).

Multiplicas Secnrities, Inc. (8/10/11).

Priebe Investment Plans, Inc. (8/2/11).

Raymond James & Associates, Inc. (6/29/11).

Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. (6/29/11).