Articles Posted in FINRA Enforcement Actions 2011

FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 2011: Beta Capital Management, L.P. (CRD #38964, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it…

FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 2011: Ameriprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it…

FINRA Arbitration Suitability and Over Concentration Attorney, Russell L. Forkey, Esq. June, 2011: Ameriprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000. Read More. June, 2011: Beta Capital Management, L.P. (CRD #38964, Miami, Florida) submitted a Letter of Acceptance,…

View the pdf here: http://floridastockfraudblog-blog.firmsitepreview.com/David-Lerner-Associates-FINRA-Complaint.pdf

Securities Fraud, Misrepresentation and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. FINRA issued the following complaint against David Lerner & Associates on May 27, 2011 . Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not…

Southeast United States FINRA Frand and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any…

Plantation, Florida FINRA Securities Fraud and Misrepresentation Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 – Complaint: FINRA issued the following complaints. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as…

FINRA Negligent Supervision and Selling Away Arbitration Attorney, Russell L. Forkey, Esq. August, 2011: Timothy D. Camarillo (CRD #5205051, Registered Representative, San Antonio, Texas) submitted an Offer of Settlement in which he was fined $10,000, suspended from association with any FINRA member in any capacity for four months, and ordered to pay $13,000 in restitution…

Southeast United States Securities Fraud and Misrepresentation FINRA Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 – Complaint: FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision…

Southeast United States FINRA Securities Fraud, Misrepresentation and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 – Complanit: FINRA has issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent…