Articles Posted in Fraud and Misrepresentation

Penny Stock Fraud and Misrepresentation Litigation and FINRA Arbitration Lawyer, Russell L. Forkey, Esq. June, 2012: SEC Charges Penny Stock Financiers and Two Public Companies With Illegal Unregistered Stock Distributions The Securities and Exchange Commission filed a civil injunctive action recently in the United States District Court for the Middle District of Florida against Mark…

Investment Advisor and Broker/Dealer Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. May, 2012: Securities and Exchange Commission v. A.L. Waters Capital, LLC, et al., Civil Action No. 12-cv-10783-DJC (District of Massachusetts) Commission Obtains Preliminary Injunction and Asset Freeze Against Massachusetts-Based Parties Who Misappropriated Investor Funds The Securities and Exchange Commission…

Investment Advisor and Broker/Dealer Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Brian Raymond Callahan, Horizon Global Advisors Ltd. and Horizon Global Advisors, LLC, (United States District Court for the Eastern District of New York, Civil Action No. 12-CV-1065) SEC CHARGES NEW YORK…

Broker/Dealer and Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case The Securities and Exchange Commission recently announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum…

Securities Fraud, Misrepresentation and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Mark A. Jackson and James J. Ruehlen, Civil Action No. 4:12-cv-00563 (S.D. Tex. filed February 24, 2012) Securities and Exchange Commission v. Thomas F. O’Rourke, Civil Action No. 4:12-cv-00564 (S.D. Tex. filed February 24,…

Investment Advisor and Broker/Dealer Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Neal R. Greenberg, Civ. Action No. 1:11-cv-00313-JLK (D. CO) COURT ENTERS ORDER AMENDING FINAL JUDGMENT AGAINST AGILE GROUP FOUNDER AND HEAD PORTFOLIO MANAGER NEAL R. GREENBERG Recently, the U.S. Securities and…

Securities Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. March, 2012: Securities and Exchange Commission v. Larry Goldstone, Clarence Simmons, and Jane Starrett, Case 1:12-cv-00257 (D.N.M.) SEC Files Civil Injunctive Action Against Senior Management of Thornburg Mortgage, Inc. for Alleged Fraudulent Overstatement of Thornburg’s Income Recently, the Securities and Exchange…

Military personnel are prime targets for the fraudulent and misleading sales practices of cold callers, INTERNET scams and other unscrupulous financial criminals. Members of the military have been targeted and exploited by such things as exorbitant-interest-rate payday loans, high fee investments, which are clearly unsuitable for them, inappropriate life insurance products, ID theft schemes and…

Money is lost in two general ways. Either you make bad investment decisions on your own, which may be based upon your not thinking trough all potential pitfalls, not having sufficient knowledge or ability to make an intelligent investment decision or blindly rely upon what others tell you which ends up being false because it…

South Florida Senior, Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney: Should you risk your home to invest in stocks, bonds, mutual funds or other investments? In our opinion, the answer is no. Over the years, in our representing investors, those individuals that have been impacted the most by…