South Florida Arbitration & Litigation Lawyer Blog

Securities and Investment Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. December, 2011: Mike Givilancz Jr. (CRD #2141251, Registered Representative, Weslaco, 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…

Securities and Investment Fraud, Misrepresentation and Negligent Supervision Lawyer, Russell L. Forkey, Esq. December, 2011: Joseph John Giuliano (CRD #1411255, Registered Principal, Boca Raton, 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, Giuliano consented…

Theft, Unauthorized Fees and Commission Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2011: John Christopher Garner (CRD #2842338, Registered Representative, Charleston, West Virginia) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting…

Selling Away and Unauthorized Outside Business Activity Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2011: David Leroy Carlson (CRD #1071647, Registered Representative, Simi Valley, California) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.…

Unauthorized Outside Business Activity and Selling Away Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. Debember, 2011: William Alexis Cronin Jr. (CRD #872542, Registered Principal, Madison, Connecticut) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $181,000, which includes disgorgement of $171,000 in commissions, and…

Private Placement, Fraud, Misrepresentation, and Negligent Supervision FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. December, 2011: Eric Lawrence Bloom (CRD #1742255, Registered Principal, Boca Raton, 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…

Churning, Unsuitable Securities FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2011: Carl Max Birkelbach (CRD #1177843, Registered Principal, Chicago, Illinois) and William James Murphy (CRD #1437087, Registered Principal, Midlothian, Illinois). Birkelbach was barred from association with any FINRA member in any capacity. Murphy was fined $585,174.67, as disgorgement of commissions, and barred…

Private Placement, Selling Away, Negligent Supervision, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2011: Xiomara Isabel Beach (CRD #5628107, Registered Representative, Long Beach, California) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $7,500 and suspended from association with any FINRA member in any capacity…

Variable and Fixed Annuity Fraud Misrepresentation and Negligent Supervision Attorney, Russell L. Forkey, Esq. December, 2011: Amir Aqeel (CRD #5151040, Registered Representative, Tomrall, Texas) submitted an Offer of Settlement in which he was suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, Aqeel consented to…

Securities Research Fraud and Deceit FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2011: Wunderlich Securities, Inc. (CRD #2543, Memphis, Tennessee) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000. Without admitting or denying the findings, the firm consented to the described sanctions and to…