Articles Posted in Breach of Fiduciary Duty

Limited Partnership – Florida Breach of Contract and Breach of Fiduciary Duty State and Federal Court Commercial and Business Litigation Attorney
Russell L. Forkey

Limited Partnership Breach of Contract, Breach of Fiduciary Duty, Mismanagement and Misrepresentation Commercial and Business State and Federal Court Litigation Attorney: A Limited Partnership is an organization made up of a General Partner, who manages the entity, and limited partners, who invest money but have limited liability, are who are not involved in the day-to-day…

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Stephen B. Blankenship and Deer Hill Financial Group, LLC. – Florida Securities Broker – Dealer Misappropriation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Final Judgments Entered against Connecticut-Based Investment Adviser and His Firm Charged with Stealing Investor Funds The Securities and Exchange Commission (“Commission”) recently announced that on May 16, 2013, the United States District Court for the District of Connecticut entered final judgments by consent in a previously filed enforcement action against Stephen B. Blankenship and his…

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Cherry-Picking or Illicit Stock Allocation – South Florida Securities Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration, State and Federal Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Charles J. Dushek, et al., Civil Action No. 13-cv-3669 (N.D. Ill., filed May 16, 2013) SEC Charges Chicago-Area Father and Son Conducting Cherry-Picking Scheme At Investment Firm The Securities and Exchange Commission (“Commission”) filed a civil injunctive complaint on May 16, 2013, in the United States District Court for the…

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Jeffrey Stebbins and Corbin Jones – Florida Stockbroker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Jeffrey Stebbins and Corbin Jones, Civil Action No. CV 13-755-PHX-SRB SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture The Securities and Exchange Commission recently filed a complaint in the United States District Court for the District of Arizona, charging two former brokers in Arizona with…

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Linda Woolf, Hands On Capital, Inc. – South Florida Securities and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Linda Woolf, Hands On Capital, Inc., et al., Civil Action No. 1:08cv235 (E.D.Va.) Former “Teach Me to Trade” Saleswoman and Infomercial Personality Linda (Knudsen) Woolf Agrees to Settle Securities Fraud Charges and Pay a $225,000 Penalty The Securities and Exchange Commission recently announced that the United States District Court for…

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Should You Risk Your Home to Buy Securities or to Purchase Other Investments? South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

South Florida Senior, Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney: Should you risk your home to invest in stocks, bonds, mutual funds or other investments? In our opinion, the answer is no. Over the years, in our representing investors, those individuals that have been impacted the most by…

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Senior Investors and Senior Designations – South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

South Florida Senior, Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority (FINRA) is a self-regulatory authority responsible for overseeing the practices of securities broker dealers. For several years, FINRA has focused on firms’ fair dealings with senior investors, as well as investors at or approaching retirement…

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Investment Scams and some Tips on how to Spot them – South Florida Securities and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney
Russell L. Forkey

Investment Scams – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: When it comes to making an intelligent investment decision, nothing is fool- proof. However, there are some basic sales tactics that should turn your “red light” on. Some of the most common include: The “Phantom Riches” Tactic: Here the salesperson…

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Who Can You Trust? Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Normally, we provide information like this post on our main website. However, because of the contents of this post, we thought that it would constitute interesting reading for seniors, their care givers, personal representatives and trustees. This post reflects the…

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High Pressure Sales of Annuities to Seniors and Others – Florida Variable and Fixed Annuity Fraud, Misrepresentation and Twisting FINRA Arbitration and Litigation Attorney
Russell L. Forkey

South Florida Variable and Fixed Annuity Fraud, Misrepresentation, Breach of Fiduciary Duty and Twisting FINRA Arbitration and Litigation Attorney: We recently were presented with the following factual situation. A single 82 year old, long retired woman received a “cold call” from a mortgage broker, who, after repeated telephone calls and visits to the woman’s home,…

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