Articles Posted in FINRA Enforcement Actions 2011

FINRA Arbitration Investment Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011 Robert Charles Keane (CRD #4232583, Registered Principal, Cleveland, Ohio) 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 30 days. Without admitting or denying the…

FINRA Arbitration Investment Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. February, 2011: David Scott Isolano (CRD #2504880, Registered Principal, Lackawaxen, Pennsylvania) submitted an Offer of Settlement in which he was fined $40,000 and suspended from association with any FINRA member in any capacity for five months and immediately thereafter suspended from association with any…

FINRA Investment and Stock Fraud Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: David Jacob Herzog (CRD #1688885, Registered Representative, Houston, Texas) 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, Herzog consented to the described…

FINRA Securities Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Michael Douglas Hanke (CRD #3158013, Registered Representative, Tampa, Florida, currently licensed with Ameriprise Financial Services, Inc. ) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $2,500 and suspended from association with any FINRA member in any capacity…

FINRA Securities Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Douglas Christopher Green (CRD #1713027, Registered Principal, Lighthouse Point, Florida, formerly licensed with Crocker Securities, LLC.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Green affected trades in collateralized mortgage obligation (CMO)…

FINRA Variable Annuity and Private Placement Arbitration Fraud Attorney, Russell L. Forkey, Esq. February, 2011: Kim Edward Elverud (CRD #2139216, Registered Principal, Bloomington, Minnesota, formerly licensed with Sumner Harrington, LTD.) 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,…

FINRA Variable Annuity and Private Placement Fraud Arbitration Attorney, Russell L. Forkey, Esq. February 2011: Cynthia Ann Bulinski (CRD #1851735, Registered Representative, Annapolis, Maryland, formerly licensed with J.W. Cole Financial, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting…

FINRA Stock, Bond, Variable Annuity and Private Placement Arbitration Lawyer, Russell L. Forkey, Esq. February, 2011: Gregory James Buchholz (CRD #1864780, Registered Representative, Bridgewater, Connecticut, formerly licensed with Raymond James 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.…

FINRA Stock, Bond, Variable Annuity and Private Placement Arbitration Attorney, Russell L. Forkey, Esq. February, 2011: Dennis O’Neal Blackstone (CRD #1517755, Registered Principal, Arlington, Texas, formerly licensed with Merrill Lynch, Pierce, Fenner & Smith, Incorporated) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in…

South East United States FINRA Arbitration Securities Fraud, Private Placement and Variable Annuity Fraud Attorney, Russell L. Forkey, Esq. February, 2011: Jason Leekarl Beckett (CRD #3186927, Registered Representative, West Columbia, South Carolina formerly licensed with Traderight Securities Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from…