South Florida Arbitration & Litigation Lawyer Blog

Stock Broker Misrepresentation, Fraud and Mismanagement FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. January, 2012: Ronald Sherman Ross Jr. (CRD #2796527, Registered Representative, Janesville, Wisconsin) 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,…

Private Placement Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Timothy Roberts Redpath (CRD #728164, Registered Principal, Sausalito, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $50,000 and suspended from association with any FINRA member in any capacity for two years. The fine…

Broker/Dealer and Registered Representative Fraud, Mismanagement and Misrepresentation Lawyer, Russell L. Forkey, Esq. January, 2012: Robert Allen Pierce (CRD #363323, Registered Principal, Battle Ground, Washington) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for four months. In light of Pierce’s financial…

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Peter Martin Peterson (CRD #2825535, Registered Principal, Tampa Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Peterson failed to respond to FINRA requests for documents. (FINRA Case #2009017968701).

Stock Broker Fraud, Misrepresentation and Mismanagement Attorney FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Jonathan Clark Peterson (CRD #4199364, Registered Representative, Alpine, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $82,033, which included disgorgement of $82,033, representing proceeds from the sales of shares of a…

Theft and Forgery FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Jan D. Narrine (CRD #5738183, Associated Person, Winter Garden, 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, Narrine consented to…

Stock Broker Misrepresentation and Fraud FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Susan Lynn Morris (CRD #1072185, Registered Principal, Wylie, Texas) 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, Morris consented…

Stock Broker Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Theora McMillan (CRD #5779512, Associated Person, Apex, North Carolina) 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, McMillan…

Private Placement Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Michael Adam Lichtenstein (CRD #2439244, Registered Representative, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $50,000 and suspended from association with any FINRA member in any capacity for 24 months. The…

Improper Borrowing of Funds From Client by FINRA Licensed Account Executive, FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January 2012: Bruce Benjamin Katz (CRD #1234370, Registered Representative, Melville, New York) submitted an Offer of Settlement in which he was suspended from association with any FINRA member in any capacity for 18 months. In…