Articles Posted in FINRA Enforcement Actions 2011

Theft and Negligent Supervision FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. October, 2011: Felipe J. Lorie (CRD #1861011, Registered Representative, Coral Gables, Florida) was barred from association with any FINRA member in any capacity.The sanction was based on findings that Lorie falsified LOAs, which caused his firm’s books and records to be inaccurate,…

Florida, FINRA Securities Fraud Arbitration Attorney, Russell L. Forkey, Esq. Felipe J. Lorie (CRD #1861011, Registered Representative, Coral Gables, Florida, formerly licensed with Atlas One Financial Group, Inc.) was named as a respondent in a FINRA complaint alleging that he falsified LOAs regarding a customer’s account with his member firm, submitted the falsified LOAs to…

South Florida, FINRA Securities Arbitration Attorney, Russell L. Forkey, Esq. Please keep in mind FINRA’s 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 of the allegations contained in…

FINRA Arbitration Fraud and Broker Mismanagement Attorney, Russell L. Forkey, Esq. FINRA Account Executive Enforcement Action: Sanjeev Jayant Shah (CRD #4009454, Registered Representative, New York, New York, formerly licensed with Citigroup Global Asset Markets, Inc.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Shah made…

Clearwater, Florida, Securities, Commodities and Precious Metals Fraud Attorney, Russell L. Forkey, Esq. DaLean Annette Rials (CRD #1925012, Registered Supervisor, Clearwater, Florida, formerly licensed with Wells Fargo Advisors, LLC.) 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…

Securities, Commodities and Precious Metals Attorney, Russell L. Forkey, Esq. Brian Edwin Raines (CRD #2687245, Registered Representative, Pickens, South Carolina, formerly licensed with Amerprise Financial Services, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for two years.…

Florida Securities, Commodities and Precious Metals Fraud Attorney, Russell L. Forkey, Esq. Frank Anthony Perrotto (CRD #2284028, Registered Representative, Janesville, Wisconsin, formerly licensed with Woodbury Financial Services, Inc. and Harbour Investments, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without…

Florida Securities, Commodities and Precious Metals Fraud Attorney, Russell L. Forkey, Esq. Kevin Leslie Moyer (CRD #2340238, Registered Principal, Deland, Florida, formerly licensed with Financial Advisers of America, LLC. and Brokersxpress, 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…

FINRA Arbitration Attorney, Russell L. Forkey, Esq. Richard Mark McKinnon (CRD #728601, Registered Representative, fomerly licensed with First Allied Securities, Inc., Carmichael, California) 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, McKinnon consented to the…

Fort Lauderdale, Florida Common Stock and Bond Fraud Attorney, Russell L. Forkey. George Henry Martin (CRD #2888367, Registered Principal, Sunny Isles Beach, 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, Martin consented to the…