Articles Posted in FINRA Enforcement Actions 2012

Carla Norah Amieiro: 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 responsibility to…

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 responsibility to reflect such action…

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 responsibility to reflect such action…

Cantone Research, Inc. and Christine L. Cantone: 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…

Private Placement and Direct Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. February, 2012: Synergy Investment Group, LLC (CRD #46035, Charlotte, North Carolina), Thurman Ray Crawford (CRD #56786, Registered Principal, Beaumont, Texas), and Jeffrey Dean Jones (CRD #4188324, Registered Principal, Concord, North Carolina) submitted an Offer of settlement in which…

Private Placement Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. February, 2012: Finance 500, Inc. (CRD® #12981, Irvine, California), Paul John Savage (CRD #1722830, Registered Principal, Coto De Caza, California) and Thomas John Harm (CRD #2093335, Registered Representative, Ladera Ranch, California), submitted a Letter of Acceptance, Waiver and Consent in which…

Sale of Unregistered Securities FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. January, 2012: Scottsdale Capital Advisors Corp (CRD #118786, Scottsdale, Arizona) and Justine Hurry (CRD #2765969, Registered Principal, Paradise Valley, Arizona) submitted an Offer of Settlement in which the firm was censured and fined $125,000, which includes the disgorgement of $18,000 in commissions…

Private Placement, Direct Investment and Selling Away, Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. February, 2012: Robert John Clark (CRD #47828, Registered Representative, Vista, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in any…

Private Placement and Selling Away Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. February, 2012: Daniel Bull (CRD #5495145, Registered Rep., Pittsburgh, Pa.) 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…

Private Placement and Direct Investment Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. February, 2012: Kevin Seth Baltimore (CRD #1863517, Registered Principal, Charleston, South Carolina) 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…