South Florida Arbitration & Litigation Lawyer Blog

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Thomas Thanh Doan (CRD #4511950, Registered Representative, Honolulu, Hawaii) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Doan converted and misappropriated funds. The findings stated that Doan submitted fraudulent…

Stock Broker Outside Business and Selling Away FINRA Arbitration and Litigation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in…

Stock Broker Misconduct and Fraud FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Rod R. Cushing (CRD #2479782, Registered Representative, Salt Lake City, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for 45 days.…

Theft and Misapprociation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, 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, Counts consented to the…

Stock Broker Fraud, Misrepresentation and Negligent Supervision Lawyer, Russell L. Forkey, Esq. January, 2012: Michael William Bozora (CRD #28009, Registered Principal, Belvedere, 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 must be…

Stock Broker Misconduct, Borrowing of Money from Customer, FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Toni Leynett Bowen (CRD #4021430, Registered Representative, Lubbock, Texas) submitted a Letter of Acceptance, Waiver and Consent in which she was suspended from association with any FINRA member in any capacity for 10 business days. In…

Private Placement and Direct Investments, Negligent Supervision of Account Executives FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Phillip Peter Borup (CRD #4446376, Registered Principal, Cameron Park, California) submitted an Offer of Settlement in which he was fined $15,000 and suspended from association with any FINRA member in any principal capacity for…

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Ricardo Blanco (CRD #1793188, Registered Representative, Key Biscayne, 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, Blanco consented…

Outside Business and Selling Away FINRA Arbitration and Litigations Attorney, Russell L. Forkey, Esq. January, 2012: James Joseph Ahmann (CRD #2983399, Reg. Representative, Bloomingdale, 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, Ahmann consented…

Stock Broker Misconduct, Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Park Avenue Securities LLC (CRD #46173, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $175,000. Without admitting or denying the findings, the…