2010 Enforcement Actions

Florida Securities Fraud Litigation and Arbitration Attorney Russell L. Forkey, Esq.

On this post, the reader will find copies of relevant 2010 State of Florida, Department of Financial Regulation enforcement actions that we believe may be of some interest to investors. Please keep in mind that the documents set forth below are for informational purposes only. If you have any questions concerning any information contained on this post, you should consult with a experienced attorney.

If you would like to review any of the final orders referenced below, please follow the highlighted link.

Arthur Eugene West.

Ayres Financial Advisors, L.L.C.

Brandy Investment Guardians, Inc.

Campbell Williams, Inc.

Capital Management Advisors, Inc.

Capital Management Advisors, Inc a registered advisor under Chapter 517 of the Florida Statutes. CPA Capital Management, L.L.P.

David James Grasse and Grasse Capital Management, LLC., a registered investment advisor under Chapter 517 of the Florida Statutes.

Dean Groff, CRD #4377979

Frederick Paul Cardinale.

George Miller, CRD #1697910 Gerald L. Ursrey.

Graciela Maria Perez.

Hart Asset Management, L.L.C.

Ilan Steven Chait.

James R. Riolo, CRD Number 2609419 James T. Laing, CRD Number 869876 John Kraskiewicz, CRD Number 2611855 Liuia Roxana Corla.

Marissa Miranda McDermott.

Merrill Lynch, Pierce Fenner & Smith Incorporated.

Michael Valentine CRD Number 25662

Morgan Stanley & Co., Incorporated.

Paul K. Kapur.

Rafael James Del Carpio.

Robert Gordon Mandel

Robert A. Peck, CRD Number 1839287

Rustin Reed Jordan

Scott David Shrader.

Stewardship Legacy Coaching, L.L.C.

Steven Arthur Williams. TD Ameritrade, Inc. The Leaders Group, Inc., CRD Number 37157 Timothy Garrettson, CRD Number 871896 UBS Securities, L.L.C. and UBS Financial Services, Inc. Vijaya Ramsarran. William David Hutchens, Jr. CRD Number 24342234. William Hilton Burke. Quantsoft Advisors, Inc.