Articles Posted in SEC Enforcement Actions 2013

Stephen B. Blankenship and Deer Hill Financial Group, LLC. – Florida Securities Broker – Dealer Misappropriation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Final Judgments Entered against Connecticut-Based Investment Adviser and His Firm Charged with Stealing Investor Funds The Securities and Exchange Commission (“Commission”) recently announced that on May 16, 2013, the United States District Court for the District of Connecticut entered final judgments by consent in a previously filed enforcement action against Stephen B. Blankenship and his…

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Cherry-Picking or Illicit Stock Allocation – South Florida Securities Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration, State and Federal Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Charles J. Dushek, et al., Civil Action No. 13-cv-3669 (N.D. Ill., filed May 16, 2013) SEC Charges Chicago-Area Father and Son Conducting Cherry-Picking Scheme At Investment Firm The Securities and Exchange Commission (“Commission”) filed a civil injunctive complaint on May 16, 2013, in the United States District Court for the…

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Richard Verdiramo and Vincent L. Verdiramo – Florida Penny and Low Priced Stock Fraud State and Federal Court Litigation Attorney
Russell L. Forkey

Final Judgments Entered against Richard Verdiramo and Vincent L. Verdiramo, Esq. The Securities and Exchange Commission recently announced that on April 29, 2013, the United States District Court for the Southern District of New York entered final judgments against Richard Verdiramo and Vincent L. Verdiramo, Esq., that require the defendants to pay full disgorgement and…

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Prime Bank Securities – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

In the Matter of Ziad K. Abdelnour The Commission today issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions…

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Securities and Investment Fraud – Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission Charges Traders in Massive Kickback Scheme Involving Venezuelan Official The Securities and Exchange Commission (Commission) recently charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes paid to a high-ranking Venezuelan finance official to secure the bond trading business…

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Municipal Securities and Continuing Disclosure Requirements – Florida Municipal Securities FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission Charges City of Harrisburg for Fraudulent Public Statements The Securities and Exchange Commission (Commission) recently charged the City of Harrisburg, Pa., with securities fraud for its misleading public statements when its financial condition was deteriorating and financial information available to municipal bond investors was either incomplete or outdated. An SEC investigation…

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Steven Palladino – Florida Investment Capital Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Steven Palladino, et al., Civil Action No. 13-11024-DPW Commission Obtains Temporary Restraining Order and Asset Freeze Against Massachusetts Man Who Defrauded Investors of At Least $5.5 Million The Securities and Exchange Commission recently announced that, on April 30, 2013, it filed an emergency enforcement action in federal district court in…

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Inter Reef, Ltd. d/b/a Profitable Sunrise – Florida Internet Securities Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Civil Action No. 1:13-CV-1104 (U.S. District Court for the Northern District of Georgia) Court Enters Preliminary Injunction Against Inter Reef d/b/a Profitable Sunrise and Extends Asset Freeze Order Recently, the Honorable Thomas…

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Michael Bozora, Timothy Redpath, Capital Solutions Distributors, LLC and Capital Solutions Management, LP – Florida Investment Fund Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. True North Finance Corp., et al., Civil Action No. 10-cv-3995 (D. Minn., filed Sept. 21, 2010) Final Judgments Entered Against Distributor and Investment Adviser The Securities and Exchange Commission recently announced that a Minnesota federal court entered final judgments by consent against Michael Bozora, Timothy Redpath, Capital Solutions Distributors, LLC…

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Jeffrey Stebbins and Corbin Jones – Florida Stockbroker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Securities and Exchange Commission v. Jeffrey Stebbins and Corbin Jones, Civil Action No. CV 13-755-PHX-SRB SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture The Securities and Exchange Commission recently filed a complaint in the United States District Court for the District of Arizona, charging two former brokers in Arizona with…

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