South Florida Arbitration & Litigation Lawyer Blog

Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. June 25, 2011: Approximately, 39,000 investors lose $1.5 billion dollars. Recently, the Securities and Exchange Commission (SEC) announced that it had agreed to accept a settlement proposed by Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and…

Florida Securities Fruad Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. June 3, 2011 Securities and Exchange Commission v. Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC, No. 1:11-cv-580 (W.D. Mich. June 3, 2011) The Securities and Exchange Commission charged Ronald Abernathy and Arthur Weiss with orchestrating a $560,000 securities fraud through their…

Florida Securities Fraud Litigation and Arbitration Attorney Russell L. Forkey, Esq. On this post, the reader will find copies of relevant 2011 State of Florida, Department of Financial Regulation enforcement actions that we believe may be of some interest to investors. Please keep in mind that the documents set forth below are for informational purposes…

Florida Securities Fraud FINRA Arbitration, Federal and State Court Litigation Attorney, Russell L. Forkey, Esq. Periodically, the Office of Financial Regulation of the State of Florida (OFR) publishes the results of the settlement and/or decisions in administrative actions brought against brokerage firms, associated persons, investment advisors and others as part of its responsibility to enforce…

Florida Securities Fraud Litigation and Arbitration Attorney Russell L. Forkey, Esq. On this post, the reader will find copies of relevant 2010 State of Florida, Department of Financial Regulation enforcement actions that we believe may be of some interest to investors. Please keep in mind that the documents set forth below are for informational purposes…

Florida Securities and Investment Fraud and Misrepresentation 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 wide…

Securities Fraud, Misrepresentation and Broker Mismanagement Attorney, Russell L. Forkey, Esq. Each State has its own securities department, which is charged with enforcing its own securities laws, rules and regulations. In the State of Florida, the Florida Office of Financial Regulation (OFR) was created by section 20.121(3), Florida Statutes. The mission of the OFR is…

The Securities and Exchange Commission recently published Litigation Release No. 21856 on February 15, 2011 in which the SEC charged Monroe L. Beachy in $33 million offering fraud that targeted the Amish. The cased is styled Securities and Exchange Commission v. Monroe L. Beachy, Civil Action No. 11-cv-320-SL in the United States District Court for…

Investors Thinking About Trading Foreign Currency Contracts Consider the Following: The advertisements seem too good to pass up. They tout high returns coupled with low risks from investments in foreign currency (forex) contracts. Sometimes they even offer lucrative employment opportunities in forex trading. Do these deals sound too good to be true? Unfortunately, they are,…