Fraud, Theft and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: Woodbury Financial Services, Inc. (CRD #421, Oak Dale, Minnesota) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $75,000. Without admitting or denying the findings, the firm…
Mutual Fund Fraud, Misrepresentation and Negligent Supervision Attorney, Russell L. Forkey, Esq. October, 2011: TD Ameritrade, Inc. (CRD #7870, Bellevue, Nebraska) submitted a Letter of Acceptance, (FINRA Case #2010022922701). Waiver and Consent in which the firm was censured and fined $100,000. Without admitting or denying the findings, the firm consented…
Municipal Securities Fraud and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: RBC Capital Markets, LLC (CRD #31194, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $95,000 and ordered to pay $32,913.50, plus interest,…
Mutual Bond Fraud and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: Continental Investors Services, Inc. (CRD #29775, Longview, Washington) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $35,000 and required to revise its WSPs regarding fair pricing…
Boca Raton, Florida Fraud, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: CBG Financial Group, Inc. (CRD #6578, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000. Without admitting or denying the…
Municipal Bond Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: Carty & Company, Inc. (CRD #7001, Memphis, Tennessee) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $25,000. Without admitting or denying the findings, the…
Orlando, Florida Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $15,000. Without admitting or denying the findings, the firm consented…
Fraud, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: BATS Trading, Inc. (CRD #136734, Lenexa, Kansas) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $307,500. Without admitting or denying the findings, the firm consented to…
Sale of Unregistered Securities, Fraud and Failure to Supervise FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: Tradespot Markets Inc. (CRD #29683, Davie, Florida) and Mark Bedros Beloyan (CRD #1392748, Registered Principal, Davie, Florida) submitted an Offer of Settlement in which the firm was censured and fined…
FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. is available for a free consultation if you have suffered investment losses relative to any of the matters set forth below: Periodically, the Financial Industry Regulatory Authority, Inc. (FINRA) publically announces, on its website, enforcement actions that have either recently been…