Articles Posted in Securities Litigation

Short Selling – Illegal Short Selling Florida Securities and Investment Fraud Litigation and Arbitration Attorney
Russell L. Forkey

Illegal Short Selling – Florida Illegal Short Selling, Securities and Investment Fraud Litigation and Arbitration Attorney: Securities and Exchange Commission v. Revelation Capital Management Ltd. and Christopher P.C. Kuchanny, Civil Action No. 14-cv-0645 (S.D.N.Y., filed January 31, 2014) SEC Charges Bermudian Investment Adviser and Principal for Illegal Short Selling On January 31, 2013, the Securities…

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Michael P. Zenger – Florida Misappropriation of Funds Litigation and Arbitration Attorney
Russell L. Forkey

South Florida Misappropriation of Funds and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Michael P. Zenger, Civil Action No. 2:14-cv-00065 (USDC Utah, Filed January 31, 2014) SEC Obtains Asset Freeze and Other Relief Against Michael P. Zenger On January 31, 2014, the Securities and Exchange Commission obtained a…

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Naked Short Selling Scheme – South Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
Russell L. Forkey

South Florida Naked Short Selling FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits. Abusive naked short selling occurs when shares are sold without having the shares to deliver,…

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Broker/Dealer Fraud, Misrepresentation, Theft and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Broker/Dealer Investment and Securities Fraud, Misrepresentation, Mismanagement, Theft and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. David L. Rothman, et al., Civil Action No. 2:12-cv-05412 (E.D. Pa.) Court Enters Final Judgment Against Broker in Settlement of Claims Arising from Fraudulent Misrepresentations and the Misappropriation of Funds The Securities…

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Berton M. Hochfeld and Hochfeld Capital Management, LLC. – South Florida Hedge Fund Mismanagement, Fraud and Breach of Fiduciary Duty Litigation and Arbitration Attorney
Russell L. Forkey

South Florida Hedge Fund Mismanagement, Fraud and Breach of Fiduciary Duty Federal and State Court Litigation Attorney: Securities and Exchange Commission v. Berton M. Hochfeld, et al., Civil Action No. 12-CV-8202 (S.D.N.Y.) Final Judgments Entered Against Former Hedge Fund Manager and His Company The Securities and Exchange Commission recently announced that on January 22, 2014,…

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Equity Fund and Equity Manager Fruad and Mismanagement – South Florida Litigation and Arbitration Attorney
Russell L. Forkey

Private Equity Fund and Private Equity Fund Management Mismanagement and Fruad – South Florida Federal and State Court Litigation and Arbitration Attorney: SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds: The Securities and Exchange Commission recently charged a Manhattan-based private equity manager and his firm with stealing $9 million from…

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Hedge Fund Fraud and Misrepresentation – South Florida Hedge Fund Fraud, Misrepresentation and Mismanagement Litigation and FINRA Arbitration Attorney
Russell L. Forkey

Hedge Fund Fraud, Mismanagement and Misrepresentation – South Florida Litigation and AAA Arbitration Attorney: Securities and Exchange Commission v. Berton M. Hochfeld, et al, Civil Action No. 12-CV-8202 (S.D.N.Y.) Final Judgments Entered Against Former Hedge Fund Manager and His Company The Securities and Exchange Commission announced today that on January 22, 2014, the Honorable Paul…

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Elder, Senior and Retirement Abuse and Exploitation – Ponzi Scheme – South Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
Russell L. Forkey

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Palladino, et al., Civil Action No. 13-11024-DPW (United States District Court for the District of Massachusetts) Commonwealth of Massachusetts v. Palladino, Crim. Action Nos. 13-10207, 13-10891; Commonwealth of Massachusetts v. Viking Financial Group, Inc., Crim.…

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Western Asset Management Company – South Florida Securities and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Western Asset Management Company – South Florida Breach of Fiduciary Duty Cross Trading FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced sanctions against a California-based investment adviser for concealing investor losses that resulted from a coding error and engaging in cross trading that favored some clients over others. Western Asset Management…

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Senior, Retirment and Elder Financial Abuse and Exploitation – South Florida Investment and Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney
Russell L. Forkey

Elder, Senior and Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney, Russell L. Forkey, Esq. Extent of Elder Abuse Victimization: We have been focusing recently or our website, www.forkeylaw.com and on this blog about various issues relating to elder, senior and retirement financial abuse and exploitation. This post is designed to provide…

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