Articles Posted in Broker/Dealer

Promissory Notes – South Florida Promissory Note FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Florida Promissory Note FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed…

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Steven Franklin Bracy – South Florida Account Executive and Brokerage Firm Negligent Supervision FINRA Arbitration and Litigation Attorney
Russell L. Forkey

South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action,…

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Sicor Securities, Inc. and Gregory Lunar Merrick – South Broker/Dealer Negligent Supervision FINRA Arbitration Attorney
Russell L. Forkey

South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action,…

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Broker/Dealer Fraud, Misrepresentation, Theft and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Broker/Dealer Investment and Securities Fraud, Misrepresentation, Mismanagement, Theft and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. David L. Rothman, et al., Civil Action No. 2:12-cv-05412 (E.D. Pa.) Court Enters Final Judgment Against Broker in Settlement of Claims Arising from Fraudulent Misrepresentations and the Misappropriation of Funds The Securities…

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Elder, Senior and Retirement Abuse and Exploitation – Ponzi Scheme – South Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
Russell L. Forkey

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Palladino, et al., Civil Action No. 13-11024-DPW (United States District Court for the District of Massachusetts) Commonwealth of Massachusetts v. Palladino, Crim. Action Nos. 13-10207, 13-10891; Commonwealth of Massachusetts v. Viking Financial Group, Inc., Crim.…

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Support Level or Resistance Level – Florida Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Support Level or Resistance Level – South Florida, including West Palm Beach, Lake Worth, Delray Beach, Royal Palm Beach and Boynton Beach, Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: A support level is a price level at which a security tends to stop falling because there is more…

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Asset Management, Cash Management or Active Assets Account – South Florida Broker/Dealer Fraud, Mismanagement or Breach of Fudiciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Cash Management, Active Asset, Asset Management or Wrap Accounts – Hollywood, Fort Lauderdale, Margate, Davie, Pompano Beach, Boca Raton and Royal Palm Beach, Florida FINRA Arbitration and Litigation Attorney: Cash Management, Active Asset, Asset Management or Wrap Accounts describe accounts at brokerage firms, banks or savings institutions that combine banking services like check writing, credit…

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Mutual Fund Switching – South Florida Mutual Fund Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Unsuitable and Inappropriate Mutual Fund Switching – Stuart, Hope Sound, Jupiter, West Palm Beach, Lantana, Delray Beach, Lake Worth and Boca Raton, Florida FINRA Arbitration, Mediation and Litigation Attorney: Mutual Fund Switching: Mutual fund switching is the moving of assets from one mutual fund to another, either within the same fund family or between different…

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Face Value of Bonds, Notes and Other Securities – Florida Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Face Value of Bonds, Notes and Other Types of Securities – South Florida FINRA Arbitration and Litigation Attorney: When using the term “Face Value” in referring to a security, it means the value as given on the certificate or instrument. For example, corporate bonds are usually issued with $1,000 face values, municipal bonds with $5,000…

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FAQ’s About Asset Allocation – South Florida Improper and Unsuitable Asset Allocation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

South Florida Improper and/or Unsuitable Asset Allocation FINRA Arbitration, Federal and State Court Litigation Attorney: Asset Allocation – Asset Allociation involves dividing an investment portfolio among different asset categories, such as stocks, bonds, and cash. The process of determining which mix of assets to hold in your portfolio is a very personal one. The asset…

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