Articles Posted in FINRA Enforcement Actions 2010

Account Executive and Broker/Dealer Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. December, 2010: Tracy Marie Lamoreaux (CRD #4578811, Registered Rep., Phoenix, Arizona) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings,…

Broker/Dealer and Account Executive Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Jason Michael Mutascio (CRD #4156832, Registered Rep., Aventura, Florida) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Mutascio consented…

Broker/Dealer and Investment Advisor Fraud, Mismanagement and Misrepresentation Lawyer, Russell L. Forkey, Esq. December, 2010: David Gustav Much (CRD #4095088, Registered Rep., Los Angeles, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for five months. The fine…

Investment and Securities Fraud and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Mark Wayne Mills (CRD #1277647, Registered Principal, Carmel, Indiana) 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, Mills…

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. December, 2010: Bernard Robert Markowitz (CRD #2414854, Registered Principal, Palm Harbor, 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, Markowitz…

Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Li Kopp aka Sabrina Kopp, Li Guo, and Sabrina Guo (CRD #5096198, Registered Principal, Beijing, China) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $7,500 and suspended from association with any FINRA…

Broker/Dealer and Account Executive Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Shawn Patrick Koerner (CRD #2183243, Registered Rep., Wautoma, Wisconsin) 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…

Investment Advisor and Broker/Dealer Fraud, Mismanagement and Misrepresentation Attorney, Russell L. Forkey, Esq. December, 2010: Ronald Laverne Kersey (CRD #2392393, Registered Rep., Lawrenceville, Georgia) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $24,500, which includes disgorgement of commissions, and suspended from association with any FINRA member in any capacity for…

Investment Advisor and Broker/Dealer Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. December, 2010: Norman Lee Kearney Jr. (CRD #1665504, Registered Rep., Portland, Oregon) 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…

Investment Advisor and Broker/Dealer Fraud, Mismanagement and Misrepresentation Lawyer, Russell L. Forkey, Esq. December, 2010: Yisrael Binyamin Goldstein (CRD #2983230, Registered Principal, Spring Valley, New York) 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, Goldstein…