South Florida Arbitration & Litigation Lawyer Blog

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: Al Joseph Romani (CRD #5000071, Registered Principal, Apopka, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with any FINRA member in any capacity for 45 days, required to requalify by examination before acting…

FINRA Arbitration Securities Fraud and Theft Attorney, Russell L. Forkey, Esq. July, 2011: Sammy Gail Page (CRD #1640203, Registered Representative, Spurger, Texas) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Page consented to the described…

FINRA Real Estate Investment and Private Placement Fraud Attorney, Russell L. Forkey, Esq. July, 2011: David Allen Naefke (CRD #1349960, Registered Representative, Palm Beach Gardens, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Naefke…

FINRA Fraud, Misrepresentation and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: John Francis Means (CRD #2263604, Registered Representative, Lutherville, Maryland) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Means consented to the described…

FINRA Arbitration Fraud and Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: Ryan Jeffrey Kirkpatrick (CRD #4459488, Registered Representative, Granbury, Texas) was fined $25,000, suspended from association with any FINRA member in any capacity for six months, and ordered to disgorge $91,466, which represents the commissions earned on the sales of unregistered securities. The fine…

FINRA Promissory Note and Theft Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: Thomas Michael Kinser (CRD #1435579, Registered Representative, Southlake, Texas) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kinser converted approximately $330,000 in customer’s funds. The findings stated that Kinser called the mutual…

FINRA Promissory Note and Variable Annuity Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. July, 2011: Patrick Shawn Kennedy (CRD #3005062, Registered Supervisor, Raleigh, North Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for nine months. The…

FINRA Promissory Note Fraud Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: Bart Chad Christensen (CRD #2956167, Registered Representative, South Jordan, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Christensen consented to the described…

Research Fraud and Non-Disclosure FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. November, 2011: BGB Securities, Inc. (CRD #36716, Arlington, Virginia) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the…

FINRA Arbitration Fraud, Misrepresentation and Mismanagement Attorney, Russell L. Forkey, Esq. July, 2011: Renee Marie Brown (CRD #3221618, Registered Principal, Golden Valley, Minnesota) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brown consented to the…