South Florida Arbitration & Litigation Lawyer Blog

FINRA Arbitration Suitability and Over Concentration Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. March, 2011: Craig Michael Bettencourt (CRD #3230665, Registered Representative, Concord, Massachusetts) 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, Bettencourt consented…

FINRA Arbitration Suitability and Over Concentration Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. March, 2011: Craig Michael Bettencourt (CRD #3230665, Registered Representative, Concord, Massachusetts) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Read More. John Brian Busacca III (CRD #2302780,…

FINRA Private Placement Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Ronald George Spomer II (CRD #4210676, Registered Representative, Cody, Wyoming) 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, Spomer consented to…

FINRA Investment Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Carlos C. Sarmiento Jr. (CRD #5003883, Registered Representative, San Antonio, Texas) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity and ordered to pay $82,350, plus interest, in restitution to a member…

FINRA Arbitration and Suitability Fraud Attorney, Russell L. Forkey, Esq. February, 2011: Louis Robert Porteous III (CRD #1549517, Registered Principal, South Freeport, Maine) 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 one year. The fine must be…

FINRA Arbitration Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011: Harry Alexander Mullen Jr. (CRD #342393, Registered Representative, Marietta, Georgia) 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, Mullen consented to the described…

Investment, Private Placement and Variable Annuity Fraud and Mismanagement, FINRA Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Steven Louis Morewitz (CRD #5022985, Registered Representative, Newport News, Virginia) 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 18…

FINRA Arbitration Investment Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011 Robert Charles Keane (CRD #4232583, Registered Principal, Cleveland, Ohio) 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 30 days. Without admitting or denying the…

FINRA Arbitration Investment Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011: David Scott Isolano (CRD #2504880, Registered Principal, Lackawaxen, Pennsylvania) submitted an Offer of Settlement in which he was fined $40,000 and suspended from association with any FINRA member in any capacity for five months and immediately thereafter suspended from association with any…

FINRA Investment and Stock Fraud Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: David Jacob Herzog (CRD #1688885, Registered Representative, Houston, Texas) 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, Herzog consented to the described…