South Florida Arbitration & Litigation Lawyer Blog

April, 2012: 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 complete in…

Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: In the Matter of Kenneth E. Marsh et al. An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Kenneth E. Marsh, Admin. Proc. No. 3-14653. The Securities…

Hedge Fund, Investment Advisor and Broker/Dealer Fraud and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: In the Matter of Grant M. Carroll The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions…

Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: In the Matter of Bryan N. Polozola, CPA On April 4, 2012, the Commission announced the issuance of an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice against Bryan N. Polozola,…

Broker/Dealer Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: In the Matter of Scott A. Wolf Recently, the Securites and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Scott A.…

Penny Stock Fraud and Misreresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: In the Matter of Alvin C. Ramsey The Securities and Exchange Commission recently announced the issuance of an Order Making Findings and Imposing Remedial Sanctions against Respondent Alvin C. Ramsey (Ramsey) pursuant to Section 15(b) of the Securities Exchange…

Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation, FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: In the Matter of Delilah A. Proctor The Securities and Exchange Commission (SEC) announced the issuance of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934…

Affinity Securities Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. April, 2012: Royal West Properties, Inc. Founding Principal Sentenced In $135 Million Investor Fraud Recently, U.S. District Judge Kathleen Williams of the Southern District of Florida sentenced Gaston E. Cantens to five years’ imprisonment followed by three years of supervised…

Penny Stock Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: Commission Bars Peter Emrich, Frank Rossi, And Dana Valensky from Association with any Broker, Dealer, Investment Adviser, Municipal Securities Dealer, or Transfer Agent and From Participating in any Offering of a Penny Stock Recently, the Securities and Exchange…

Day Trading and Exchange Traded Funds Investment Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. April, 2012: Commission Charges South Florida Man in Investment Fraud Scheme The Securities and Exchange Commission recently charged that a South Florida investment manager defrauded investors by making false claims about his investment track record…