Articles Posted in FINRA Enforcement Actions 2012

Mikal Keahey Johnson – Lake Worth, Florida Unauthorized Discretion FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Mikal Keahey Johnson – Richardson, 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…

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William Edward Herlihy – South Florida Sale of Unregistered Securities FINRA, AAA and Jams Arbitration and Litigation Attorney
Russell L. Forkey

William Edward Herlihy – Deltona, Florida: 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…

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Steven Vincent Hazard – Hollywood, Florida Promissory Note FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Steven Vincent Hazard – Sequim, Washington: 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…

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Jeffrey James Frye – Boynton Beach, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Jeffrey James Frye – Lawrence, Kansas: 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…

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Jimmy Wayne Freeman Jr. – Coral Springs, Florida Private Placement and Selling Away FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Jimmy Wayne Freeman Jr. – Corpus Christi, 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…

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Philip Eckstein – Delray Beach, Florida Theft and Fraud FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Philip Eckstein – Wilton, Connecticut: 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 the…

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Brian Ray Eastridge – Florida Private Securities Transactions Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Brian Ray Eastridge – Sedgwick, Kansas: 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…

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Richard Joseph Buswell and Herbert Steven Fouke – Florida Unsecured Bridge Notes, Warrants and Unsecured Promissory Note FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

Richard Joseph Buswell and Herbert Steven Fouke – Lafayette, Louisiana: 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…

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George Samuel Baseluos – Florida Private Placement Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
Russell L. Forkey

George Samuel Baseluos – Long Beach, 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…

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Richard Declan Bailey – Fort Lauderdale, Florida Securities Breach of Fiduciary Duty FINRA, AAA and JAMS Arbitration Attorney
Russell L. Forkey

Richard Declan Bailey, Scituate, Massachusetts: 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 the…

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