Articles Posted in FINRA Enforcement Actions 2011

FINRA Securities Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 James Jerome Heffers Sr. (CRD #241577, Registered Representative, Kingston, Pennsylvania, formerly licensed with Fortune Financial Services, 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 Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Joshua Daniel Gould (CRD #4617397, Registered Representative, St. Louis, Missouri, formerly licensed with Woodbury Financial Services, 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 denying…

FINRA Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. May, 2011 Christian Genitrini (CRD #3277581, Registered Representative, New York, New York, formerly licensed with MML Investors Services, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000, suspended from association with any FINRA member in any capacity for two years,…

South East United States FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 John Matthew Dwyer III (CRD #2376954, Registered Representative, Atlanta, Georgia, formerly licensed with UBS Financial Services, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or…

South Florida, FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 John Godfried Croes Jr. (CRD #2778261, Registered Representative, Davie, Florida, formerly licensed with Princor Financial Services Corporation) 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…

South Florida, FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Robin Fran Bush (CRD #1994431, Registered Principal, Coral Springs, Florida, formerly licensed with Newbridge Securities Corporation) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $15,000 and suspended from association with any FINRA member in any principal…

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Reba Rose Cope (CRD #5056512, Associated Person, Crossnore, North Carolina) was barred from association with any FINRA member in any capacity. FINRA did not seek restitution because a bank reimbursed the customer for the amount Cope converted, plus interest. The sanction was based…

South Florida, FINRA Securities Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. May, 2011 Charles Hyman Brown (CRD #858501, Registered Principal, Coconut Creek, Florid, currently licensed with Newbridge Securities Corporation)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 capacity…

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Carl Henry Blanchard (CRD #3175596, Registered Representative, West Roxbury, Massachusetts, formerly licensed with New England Securities) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $31,434, which includes disgorgement of $16,434 to be paid to the firm, and suspended…

FINRA Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. May, 2011 Steven John Argo (CRD #4418605, Registered Representative, Lockport, New York, formerly licensed with Thrivent Investment Management, 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 denying…