South Florida Arbitration & Litigation Lawyer Blog

Registered Representative and Account Executive Fraud and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. William F. Duncan, United States District Court for the Central District of California, Civil Action No. CV 12-1785 R (AGRx). Securities and Exchange Commission v. John M. Williams, United States District…

Account Executive and Registered Representative Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Laywer, Russell L. Forkey, Esq. March, 2012: SEC v. Marleen Jantzen and John Jantzen, 1:10-cv-00740-JRN (W.D. Tex. [Austin Div.]) COURT ENTERS SUMMARY JUDGMENT AGAINST INSIDER TRADING DEFENDANTS JOHN JANTZEN AND WIFE, MARLEEN JANTZEN Recently, United States District Judge James R. Nowlin of…

FINRA Arbitration and Securities Fraud Litigation Attorney Russell L. Forkey, Esq. March, 2012: SEC has Announced Charges from its Investigation of Secondary Market Trading of Private Company Shares The Securities and Exchange Commission recently charged two managers of private investment funds established solely to acquire the shares of Facebook and other Silicon Valley firms with…

Account Executive and Registered Representative Fraud and Mismanagement FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Rajnish K. Das and Stormy L. Dean, Civ. No. 8:10-CV-00102 (D. Nebraska). JURY RETURNS VERDICT OF LIABILITY ON ALL CLAIMS AGAINST TWO FORMER CFO’S OF INFOUSA, INC, RAJNISH K. DAS AND…

Pump and Dump Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Prime Star Group, Inc. SEC Charges CEO of Las Vegas-Based Penny Stock Company and Several Consultants in Pump-and-Dump Scheme The Securities and Exchange Commission recently charged a Las Vegas-based food and beverage company and its CEO with conducting…

Account Executive and Stock Broker Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Timothy J. McGee, et al., Civil Action No. 12-cv-1296 (RBS) (E.D.Pa.) SEC CHARGES FIVE WITH INSIDER TRADING ON CONFIDENTIAL MERGER NEGOTIATIONS BETWEEN PHILADELPHIA COMPANY AND JAPANESE FIRM The Securities and…

Stock Broker Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Thomas C. Hardin and Lanexa Management, LLC, Civil Action No. 10-CV-8599 (S.D.N.Y.) (RJS) Lanexa Management LLC Agrees Disgorge $746,797 in Insider Trading Profits The U.S. Securities and Exchange Commission recently announced that on…

Investment Fund and Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Frank Mazzola et al., CV-12-1258 EDL (U.S. District Court for the Northern District of California, filed March 14, 2012) SEC BRINGS CHARGES IN CONNECTION WITH SECONDARY MARKET TRADING OF PRIVATE…

Investment Advisor and Broker/Dealer Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC, (United States District Court for the Eastern District of New York, Civil Action No. 12-CV-1065) SEC CHARGES NEW YORK…

Broker/Dealer and Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case The Securities and Exchange Commission recently announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum…