South Florida Arbitration & Litigation Lawyer Blog

The Florida Office of Insurance Regulation Recently Announced a Multi-Agency, Multi-Million Dollar Agreement with Prudential for Life Claims Settlements. Please make sure that you read the entire announcement to determine what you have to do to see whether or not this settlement will have an impact on you or someone that you know. February 02,…

Broker/Dealer Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. February, 2012: ADMINISTRATIVE PROCEEDING File No. 3-14710 In the Matter of: 1st Discount Brokerage and Michael R Fisher Respondents. ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(e) AND 203(f) OF THE…

Broker/Dealer Investment and Securities Fraud Litigation and FINRA Arbitration Lawlyer, Russell L. Forkey, Esq. February, 2012: SEC v. Cutillo et al., Civil Action No. 09-CV-9208 (S.D.N.Y.) (RJS) Former Traders Craig Drimal and David Plate Settle SEC Insider Trading Charges The Securities and Exchange Commission recently announced that the Honorable Richard J. Sullivan of the United…

Broker/Dealer and Account Executive Fraud, Mismanagement and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. February, 2012: Court Enters Final Judgment By Consent Against Robert J. Therrien, Former CEO of Brooks Automation Securities and Exchange Commission v. Robert J. Therrien, (United States District Court for the District of Massachusetts, CV-07-11634-WGY) The Commission recently…

Broker/Dealer and Stock Broker Fraud and Misconduct Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. February, 2012: SEC v. Lloyd V. Barriger, 11 Civ. 3250 (CS) (S.D.N.Y.) Lloyd V. Barriger, Monticello, New York Investment Adviser, is Permanently Enjoined and Barred from the Securities Industry Recently, the Honorable Cathy Seibel, United States District Judge for…

Investment and Securities Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. February, 2012: SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis The Securities and Exchange Commission recently charged four former veteran investment bankers and traders at Credit Suisse Group for engaging in a complex…

Securities and Investment Fraud, Misrepresentation and Statutory Violation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review these actions and provide selective information concerning what we feel relate to important issues or matters that have a…

Stock Broker Fraud, Misconduct and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: SECURITIES AND EXCHANGE COMMISSION v. CHRISTOPHER T. VULLIEZ, ET AL. Civil Action No. 11-cv-3458 (RMB) (S.D.N.Y.) SEC OBTAINS FINAL JUDGMENTS AGAINST INVESTMENT ADVISER CHRISTOPHER T. VULLIEZ AND AMPHOR ADVISORS, LLC The Securities and Exchange Commission recently announced that…

INVESTOR ALERT:Email Hack Attack? Be Sure to Notify Brokerage Firms and Other Financial Institutions Immediately if you Feel that your Security has been Compromised. Every day each of my websites and email address receive numerous unwanted spam and and unsolicited contacts from what are clearly fraudsters. Obviously, the easiest way to deal with these types…

Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: SECURITIES AND EXCHANGE COMMISSION v. ROBERT CHIU (A/K/A CHI HUNG CHIU), Civil Action No. CV-12-00200-PHX-JWS (JWS) (D. Ariz.) (Filed Jan. 30, 2012) SECURITIES AND EXCHANGE COMMISSION v. JAMES LI (A/K/A CHING HUA LI), THOMAS CHOW (A/K/A MAN KIT…