South Florida Arbitration & Litigation Lawyer Blog

FINRA Arbitration Fraud and Broker Mismanagement Attorney, Russell L. Forkey, Esq. FINRA Account Executive Enforcement Action: Sanjeev Jayant Shah (CRD #4009454, Registered Representative, New York, New York, formerly licensed with Citigroup Global Asset Markets, Inc.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Shah made…

Clearwater, Florida, Securities, Commodities and Precious Metals Fraud Attorney, Russell L. Forkey, Esq. DaLean Annette Rials (CRD #1925012, Registered Supervisor, Clearwater, Florida, formerly licensed with Wells Fargo Advisors, LLC.) 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…

Securities, Commodities and Precious Metals Attorney, Russell L. Forkey, Esq. Brian Edwin Raines (CRD #2687245, Registered Representative, Pickens, South Carolina, formerly licensed with Amerprise Financial Services, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for two years.…

Florida Securities, Commodities and Precious Metals Fraud Attorney, Russell L. Forkey, Esq. Frank Anthony Perrotto (CRD #2284028, Registered Representative, Janesville, Wisconsin, formerly licensed with Woodbury Financial Services, Inc. and Harbour Investments, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without…

Florida Securities, Commodities and Precious Metals Fraud Attorney, Russell L. Forkey, Esq. Kevin Leslie Moyer (CRD #2340238, Registered Principal, Deland, Florida, formerly licensed with Financial Advisers of America, LLC. and Brokersxpress, LLC.) 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 Arbitration Attorney, Russell L. Forkey, Esq. Richard Mark McKinnon (CRD #728601, Registered Representative, fomerly licensed with First Allied Securities, Inc., Carmichael, California) 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, McKinnon consented to the…

Fort Lauderdale, Florida Common Stock and Bond Fraud Attorney, Russell L. Forkey. George Henry Martin (CRD #2888367, Registered Principal, Sunny Isles Beach, 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, Martin consented to the…

April 2011 FINRA Account Executive Enforcement Action: Robert Lee Keys (CRD #720689, Registered Principal, Portland, Oregon, formerly licensed with Private Consulting Group, 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, Keys consented to the described sanction and…

April 2011 FINRA Account Executive Enforcement Action: Michael William Keleher (CRD #3244480, Registered Representative, Kenilworth, New Jersey, formerly licensed with Ing Financial Partners, 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, Keleher consented to the described sanction…

April 2011 FINRA Associated Person Enforcement Action: Mark David Kaufman (CRD #2774897, Registered Representative, Boca Raton, Florida formerly licensed with Jesup & Lamont Securities Corp. and Aura Financial Services) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for six months. In…