Articles Posted in FINRA Enforcement Actions 2011

Boca Raton, Florida Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. June, 2011: Jorge Ivan Salgado (CRD #4395823, Registered Representative, Miami, Florida, formerly licensed with Global Strategic Investments, LLC.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity…

FINRA Securities Mismanagement and Fraud Arbitration Attorney, Russell L. Forkey, Esq. June, 2011: Matthew Mark Rairigh (CRD #4364749, Registered Representative, Wintersville, Ohio, formerly licensed with Securities Management & Resources, Inc.) 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…

FINRA Securities Misconduct and Fraud Arbitration Lawyer, Russell L. Forkey, Esq. June, 2011: Thaddeus Newel (CRD #2060528, Registered Representative, Farmington Hills, Michigan, formerly licensed with Equitas America, LLC.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Newel received checks totaling $135,000 made payable to an…

FINRA Arbitration Mismanagement, Failure to Supervise and Fraud Lawyer, Russell L. Forkey, Esq. June, 2011: Robert Joseph Oftring (CRD #1058581, Registered Principal, Worcester, Massachusetts, licensed with Capital Securities Management, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any principal…

FINRA Arbitration Securities Mismanagement and Fraud Attorney, Russell L. Forkey, Esq. June, 2011: Kirk Kenneth Kepper (CRD #2980989, Registered Representative, Baton Rouge, Louisiana, formerly licensed with Park Avenue Securities, LLC.) 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…

FINRA Arbitration, Securities Fraud and Mismanagement Lawyer, Russell L. Forkey, Esq. June, 2011 FINRA Enforcement Action: Jeremy Kenneth Kelter (CRD #843565, Registered Principal, Lake Worth, Florida, formerly licensed with Sagepoint Financial, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in…

Securities Fraud FINRA Arbitration Lawyer, Russell L. Forkey, Esq. June, 2011: Darren Joseph Dietrich (CRD #1814017, Registered Representative, Plant City, Florida, formerly licensed with Brookstone Securities, Inc.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Dietrich failed to appear and testify at FINRA on-the-record interviews.…

Securities Fraud FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 2011: Michael Asher Dagnan (CRD #4060750, Registered Representative, Arlington, Texas, formerly licensed with Woodbury Financial Services, Inc.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Dagnan failed to respond to FINRA requests for information regarding…

FINRA Securities Fraud Arbitration Lawyer, Russell L. Forkey, Esq. June, 2011: Scott William Coy (CRD #2441990, Registered Representative, Irwin, Pennsylvania, formerly licensed with Centaurus Financial, Inc. and Questar Capital Corporation) 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…

FINRA Securities Arbitration Lawyer, Russell L. Forkey, Esq. June, 2011: Uzo Omar Chima (CRD #3067054, Registered Principal, Baltimore, Maryland, formerly licensed with SunTrust Investment Services) submitted an Offer of Settlement in which he was fined $75,000, suspended from association with any FINRA member in any capacity for two years, and ordered to pay $12,443.73, plus…