Articles Posted in FINRA Enforcement Actions 2012

Stock Broker Mismanagement, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: James Clement Hanrahan (CRD #5487504, Registered Representative, Alpharetta, Georgia) 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, Hanrahan…

Stock Broker Mismanagement, Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. January, 2012: Henry Horace Godbee IV aka Chad Godbee (CRD #4536422, Registered Representative, North Little Rock, Arkansas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without…

Stock Broker Fraud, Misrepresentation and Misconduct FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida) submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be…

Outside Business Activity and Selling Away FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Richard Henry Elizondo (CRD #2953315, Registered Representative, Harlingen, 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, Elizondo…

Selling Away and Outside Business Activity FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Matthew Morgan Dooley (CRD #2507851, Registered Representative, Mill Valley, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Dooley failed to respond to FINRA requests for information and…

Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Thomas Thanh Doan (CRD #4511950, Registered Representative, Honolulu, Hawaii) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Doan converted and misappropriated funds. The findings stated that Doan submitted fraudulent…

Stock Broker Outside Business and Selling Away FINRA Arbitration and Litigation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in…

Stock Broker Misconduct and Fraud FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Rod R. Cushing (CRD #2479782, Registered Representative, Salt Lake City, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for 45 days.…

Theft and Misapprociation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, 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, Counts consented to the…

Stock Broker Fraud, Misrepresentation and Negligent Supervision Lawyer, Russell L. Forkey, Esq. January, 2012: Michael William Bozora (CRD #28009, Registered Principal, Belvedere, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $50,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be…