South Florida Arbitration & Litigation Lawyer Blog

Florida FINRA Securities Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 Jose Antonio Rivera (CRD #1822783, Registered Representative, Fort Myers, Florida, formerly licensed with Invest Financial Corporation and Morgan Stanley Smith Barney) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA…

FINRA Securities Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 Penena Karpel McRoberts (CRD #1909901, Registered Representative, Austin, Texas, formerly licensed with LPL Financial Corporation and Next Financial Group, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $20,000, which includes the disgorgement of commissions received of $9,600,…

South Florida, FINRA Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Devon Coulin McLean (CRD #4072332, Registered Representative, Homestead, Florida, formerly licensed with Questar Capital Corporation) 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…

FINRA Securities Fraud, Misrepresentation and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Marco Antonio Martin (CRD #3100944, Registered Representative, Toronto, Canada, formerly Citigroup Global Markets, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Martin consented…

FINRA Securities Fraud, Misrepresentation and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Cesar Madrigal (CRD #4572698, Registered Representative, Deer Park, Texas, formerly registered with Wells Fargo Advisors, LLC.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Madrigal misappropriated $102,054.55 from customers’ bank accounts by…

South Florida Securities Fraud, Misrepresentation and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Michael Steven Jacobson (CRD #2042591, Registered Representative, Coral Springs, Florida, formerly licensed with Princor Financial Services Corporation and Met Life Securities) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any…

FINRA Securities Fraud, Misrepresentation and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 William Thomas Hernandez (CRD #2815703, Registered Representative, Louisville, Kentucky, formerly licensed with PNC Investments) 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 and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 James Jerome Heffers Sr. (CRD #241577, Registered Representative, Kingston, Pennsylvania, formerly licensed with Fortune Financial Services, Inc. ) 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…

FINRA Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Joshua Daniel Gould (CRD #4617397, Registered Representative, St. Louis, Missouri, formerly licensed with Woodbury Financial Services, Inc.) 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…

FINRA Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Christian Genitrini (CRD #3277581, Registered Representative, New York, New York, formerly licensed with MML Investors Services, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000, suspended from association with any FINRA member in any capacity for two years,…