South Florida Arbitration & Litigation Lawyer Blog

Stock Broker Fraud, Theft and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Andrew Vincent Kardish II (CRD #2893973, Registered Supervisor, San Juan Capistrano, California) 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…

Variable Annuity Unsuitably FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Dennis Stanley Kaminski (CRD #1013459, Registered Principal, Wellington, Florida) was fined $50,000, suspended from association with any FINRA member in any capacity for 18 months and required to requalify before acting in any capacity requiring qualification. The Securities and Exchange Commission…

Unapproved Outside Business and Selling Away FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Stephen Johnathan Hoshimi (CRD #1977772, Registered Principal, Pacific Palisades, California) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for six months. In light of…

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Stephen Elliot Hill (CRD #2202940, Registered Representative, Upper Saddle River, New Jersey) 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…

Outside Business and Selling Away FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Roger William Hayes (CRD #240582, Rep. Representative, Vergennes, Vermont) 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, Hayes consented…

Stock Broker Mismanagement, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: James Clement Hanrahan (CRD #5487504, Registered Representative, Alpharetta, Georgia) 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, Hanrahan…

Stock Broker Mismanagement, Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. January, 2012: Henry Horace Godbee IV aka Chad Godbee (CRD #4536422, Registered Representative, North Little Rock, Arkansas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without…

Stock Broker Fraud, Misrepresentation and Misconduct FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida) submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be…

Outside Business Activity and Selling Away FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Richard Henry Elizondo (CRD #2953315, Registered Representative, Harlingen, Texas) 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, Elizondo…

Selling Away and Outside Business Activity FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Matthew Morgan Dooley (CRD #2507851, Registered Representative, Mill Valley, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Dooley failed to respond to FINRA requests for information and…