South Florida Arbitration & Litigation Lawyer Blog

View the pdf here: http://floridastockfraudblog-blog.firmsitepreview.com/David-Lerner-Associates-FINRA-Complaint.pdf

Securities Fraud, Misrepresentation and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. FINRA issued the following complaint against David Lerner & Associates on May 27, 2011 . Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not…

Southeast United States FINRA Frand and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any…

Plantation, Florida FINRA Securities Fraud and Misrepresentation Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 – Complaint: FINRA issued the following complaints. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as…

FINRA Negligent Supervision and Selling Away Arbitration Attorney, Russell L. Forkey, Esq. August, 2011: Timothy D. Camarillo (CRD #5205051, Registered Representative, San Antonio, Texas) submitted an Offer of Settlement in which he was fined $10,000, suspended from association with any FINRA member in any capacity for four months, and ordered to pay $13,000 in restitution…

Southeast United States Securities Fraud and Misrepresentation FINRA Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 – Complaint: FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision…

Southeast United States FINRA Securities Fraud, Misrepresentation and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 – Complanit: FINRA has issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent…

FINRA Securities Fraud, Misrepresentation and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Donald Barry Weidenfeld (CRD #1751232, Registered Principal, Del Ray Beach, Florida, currently licensed with Raymond James & Associates, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in…

FINRA Securities Fraud and Misrepresentation Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Nathan Mark Spiegel (CRD #4823748, Registered Representative, Ankeny, Iowa, formerly licensed with Edward Jones) 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,…

FINRA Securities Fraud, Mismanagement and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 Ryan Seth Sackstein (CRD #4304667, Registered Representative, Hewlett, New York formerly licensed with Investors Capital Corporation) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Sackstein requested a customer sign a written agreement,…