South Florida Arbitration & Litigation Lawyer Blog

FINRA Securities Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Michael Douglas Hanke (CRD #3158013, Registered Representative, Tampa, Florida, currently licensed with Ameriprise Financial Services, Inc. ) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $2,500 and suspended from association with any FINRA member in any capacity…

FINRA Securities Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Douglas Christopher Green (CRD #1713027, Registered Principal, Lighthouse Point, Florida, formerly licensed with Crocker Securities, LLC.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Green affected trades in collateralized mortgage obligation (CMO)…

FINRA Variable Annuity and Private Placement Arbitration Fraud Attorney, Russell L. Forkey, Esq. February, 2011: Kim Edward Elverud (CRD #2139216, Registered Principal, Bloomington, Minnesota, formerly licensed with Sumner Harrington, LTD.) 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,…

FINRA Variable Annuity and Private Placement Fraud Arbitration Attorney, Russell L. Forkey, Esq. February 2011: Cynthia Ann Bulinski (CRD #1851735, Registered Representative, Annapolis, Maryland, formerly licensed with J.W. Cole Financial, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting…

FINRA Stock, Bond, Variable Annuity and Private Placement Arbitration Lawyer, Russell L. Forkey, Esq. February, 2011: Gregory James Buchholz (CRD #1864780, Registered Representative, Bridgewater, Connecticut, formerly licensed with Raymond James 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.…

FINRA Stock, Bond, Variable Annuity and Private Placement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Dennis O’Neal Blackstone (CRD #1517755, Registered Principal, Arlington, Texas, formerly licensed with Merrill Lynch, Pierce, Fenner & Smith, Incorporated) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in…

South East United States FINRA Arbitration Securities Fraud, Private Placement and Variable Annuity Fraud Attorney, Russell L. Forkey, Esq. February, 2011: Jason Leekarl Beckett (CRD #3186927, Registered Representative, West Columbia, South Carolina formerly licensed with Traderight Securities Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from…

FIN RA Arbitration Securities, Private Placement and Variable Annuity Attorney, Russell L. Forkey, Esq. February, 2011: Pinnacle Financial Group, LLC (CRD #131674, Orlando, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $15,000. In light of the firm’s financial status, a lower fine was imposed. Without admitting…

FINRA Securities and Variable Annuity Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011: LPL Financial Corporation, nka LPL Financial LLC (CRD #6413, Boston, Massachusetts) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $175,000. Without admitting or denying the findings, the firm consented to the…

Florida FINRA Securities and Private Placement Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011: InterSecurities, Inc. nka Transamerica Financial Advisors, Inc. (CRD #16164, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was fined $50,000 and required to certify to FINRA that it has reviewed it policies,…