Articles Posted in FINRA Enforcement Actions 2012

Douglas Eugene Vannoy – Daytona Beach, Florida Securities Theft FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Douglas Eugene Vannoy – Kingsville, Texas: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Continue reading ›
Matthew Christopher Valentine – Royal Palm Beach, Florida Securities Theft FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Matthew Christopher Valentine – Dallas, Texas: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Continue reading ›
Leland Otto Stevens – Tampa, Florida Promissory Note, Unauthorized Outside Business Activity FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Leland Otto Stevens – Christiansburg, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Continue reading ›
Mark Alan Schroeder – Homestead, Florida Theft and Conversion FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Mark Alan Schroeder – Farmington, New York: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Continue reading ›
Ryan Reaume Riley – Key West, Florida Private Securities Transaction and Selling Away FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Ryan Reaume Riley – Leesburg, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Continue reading ›
Timothy Leon Pittman – Miami, Florida Unauthorized Customer Borrowing FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Timothy Leon Pittman – Chico, California: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Continue reading ›
Jeffrey Dean Ogle – Florida Broker/Dealer Fraud and Breach of Fiduciary Duty FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Jeffrey Dean Ogle – Castle Rock, Colorado: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Continue reading ›
Lloyd Thomas Mincy Jr. – Orlando, Florida Variable Annuity Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Lloyd Thomas Mincy Jr. – Keego Harbor, Michigan: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed…

Continue reading ›
Joshua Martinez – Florida Common Stock Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration Attorney
Russell L. Forkey

Joshua Martinez – Rio Piedras, Puerto Rico: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals…

Continue reading ›
David Austin Kembel – South Florida Improper Borrowing Funds From Securities Clients FINRA Arbitration and Litigation Attorney
Russell L. Forkey

David Austin Kembel – Roanoke, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have…

Continue reading ›

Client Reviews

"I have placed great trust in Mr Forkey."

D.E.

Contact Us

  1. 1 Free Consultation
  2. 2 Over 30 Years of Experience
  3. 3 Serving the Entire USA

Fill out the contact form or call us at 561-406-4644 to schedule your free consultation.

Leave Us a Message