South Florida Arbitration & Litigation Lawyer Blog

South East United States FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 John Matthew Dwyer III (CRD #2376954, Registered Representative, Atlanta, Georgia, formerly licensed with UBS Financial Services, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or…

South Florida, FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 John Godfried Croes Jr. (CRD #2778261, Registered Representative, Davie, Florida, formerly licensed with Princor Financial Services Corporation) 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…

South Florida, FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Robin Fran Bush (CRD #1994431, Registered Principal, Coral Springs, Florida, formerly licensed with Newbridge Securities Corporation) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $15,000 and suspended from association with any FINRA member in any principal…

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Reba Rose Cope (CRD #5056512, Associated Person, Crossnore, North Carolina) was barred from association with any FINRA member in any capacity. FINRA did not seek restitution because a bank reimbursed the customer for the amount Cope converted, plus interest. The sanction was based…

South Florida, FINRA Securities Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 Charles Hyman Brown (CRD #858501, Registered Principal, Coconut Creek, Florid, currently licensed with Newbridge Securities Corporation)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 principal capacity…

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Carl Henry Blanchard (CRD #3175596, Registered Representative, West Roxbury, Massachusetts, formerly licensed with New England Securities) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $31,434, which includes disgorgement of $16,434 to be paid to the firm, and suspended…

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Steven John Argo (CRD #4418605, Registered Representative, Lockport, New York, formerly licensed with Thrivent Investment Management, 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 Scott Jeffrey Adler (CRD #3175603, Registered Representative, Sharon, Massachusetts, formerly licensed with New England Securities) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $36,434, which includes disgorgement of $16,434 to be paid to the firm, and suspended from association…

FINRA Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Irving Louis Adler (CRD #3175612, Registered Representative, Braintree, Massachusetts, formerly licensed with New England Securities) 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, Adler…

FINRA Broker Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 UVEST Financial Services Group, Inc. (CRD #13787, Charlotte, North Carolina) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $75,000. Without admitting or denying the findings, the firm consented to the described sanctions and to…