South Florida Arbitration & Litigation Lawyer Blog

April, 2012: Broker/Dealer, Investment Advisor and Hedge Fund Fruad, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. Former Syntax-Brillian Corp. Chief Executive Officer Ordered to Pay More Than $11 Million For Insider Trading and Financial Fraud On April 4, 2012, Judge Susan R. Bolton of the United States District Court for…

April, 2012 Hedge Fund, Broker/Dealer and Investment Advisor Fraud, Misrepresentation and Misrepresentation Lawyer, Russell L. Forkey, Esq. SEC Files Settled Charges Against Silicon Valley Man in Connection With Offering Fraud, Revokes US Registration of Securities of His Company The United States Securities and Exchange Commission today announced two enforcement actions arising from a $7 million…

April, 2012: Broker/Dealer, Hedge Fund and Investment Fraud, Misrepresentation and Mismanagement FINRA Abitration and Litigation Attorney, Russell L. Forkey, Esq. SEC v. Aragon Capital Advisors LLC, et al. The U.S. District Court for the Southern District of New York (Hon. Frank Maas) signed a consent judgment on April 4, 2012 requiring Defendants in the Securities…

April, 2012: In our continued attempt to keep members of the investing public abreast of current fraud related issues, we are providing a series of posts relating to identity theft, including how to prevent it and what to do if you are exposed to it. These posts are not designed to be complete in all…

April, 2012: In our continued attempt to keep members of the investing public abreast of current fraud related issues, we are providing a series of posts relating to identity theft, including how to prevent it and what to do if you are exposed to it. These posts are not designed to be complete in all…

April, 2012: In our continued attempt to keep members of the investing public abreast of current fraud related issues, we are providing a series of posts relating to identity theft, including how to prevent it and what to do if you are exposed to it. These posts are not designed to be complete in all…

April, 2012: Identity Theft (2) In our continued attempt to keep members of the investing public abreast of current fraud related issues, we are providing a series of posts relating to identity theft, including how to prevent it and what to do if you are exposed to it. These posts are not designed to be…

April, 2012: Identity Theft: In our continued attempt to keep members of the investing public abreast of current fraud related issues, we are providing a series of posts relating to identity theft, including how to prevent it and what to do if you are exposed to it. These posts are not designed to be complete…

Unreasonable Markup and Markdown FINRA Arbitration and Litigation Attorney Russell L. Forkey, Esq. April, 2012: FINRA Hearing Panel Fines David Lerner Associates $2.3 Million for Selling Municipal Bonds, CMOs to Retail Customers at Unfair Prices, and for Supervisory Violations Restitution Provided to Customers; Firm’s Head Trader Fined and Suspended The Financial Industry Regulatory Authority (FINRA)…

April, 2012: Invest Wisely: In our continued effort to educate the investing public about various aspects of the securities markets, we are providing the below information. Because this information is being provided for educational purposes only, it should not be relied upon as providing legal or investment advice. Moreover, it is not intended to be…