South Florida Arbitration & Litigation Lawyer Blog

Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. February, 2012: The Carson Medlin Company (CRD #28567, Tampa, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000. FINRA imposed a lower fine after it considered, among other things,…

Broker/Dealer and Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. February, 2012: Bulltick Securities, LLC (CRD #132092, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $125,000. Without admitting or denying the findings, the firm consented to the described…

FINRA Arbitration Attorney, Russell L. Forkey, Esq. is available for a free consultation if you have suffered investment losses relative to any of the matters set forth below: Periodically, the Financial Industry Regulatory Authority, Inc. (FINRA) publically announces, on its website, enforcement actions that have either recently been settled by or commenced against broker/dealers and/or…

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Lorenzo Fiol Jr. (CRD #2454926, Registered Principal, Morton Grove, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fiol…

Broker/Dealer Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Tyge Thomas Tuccillo (CRD #3075541, Registered Rep., Venice, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Tuccillo consented…

Broker/Dealer and Account Executive Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: William Slay Stevens (CRD #2889238, Registered Representative, Montgomery, Alabama) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the…

Broker/Dealer and Account Executive Fraud and Misrepresentation Lawyer, Russell L. Forkey, Esq. January, 2012: Elva Luz Solis (CRD #5527297, Registered Representative, Dodge City, Kansas) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Solis consented to…

FINRA Arbitration Customer Theft and Fraud Attorney, Russell L. Forkey, Esq. August, 2011: Joseph James Sciarra Jr. (CRD #1576322, Registered Principal, Wellington, Florida) was named as a respondent in a FINRA complaint alleging that he received a total of $393,935 from a member firm customer for investment purposes, endorsed the checks and either cashed them…

Trade Allocation Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. January, 2012: Ronnie Charles Saliba (CRD #2625194, Registered Supervisor, Old Westbury, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for two years. Without admitting or…

Fraud, Churning and Unsuitable Recommendation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Charles Bacon Rowley III (CRD #842096, Registered Principal, Waltham, Massachusetts) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, suspended from association with any FINRA member in any capacity for six months, and ordered…