Securities and Securities Fraud

South Florida Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney

Published on: September 15, 2014 | By Russell L. Forkey, P.A.

Fort Lauderdale, Boca Raton, Delray Beach, Lantana, Lake Worth and West Palm Beach, Florida Elder Financial Abuse and Exploitation Litigation and FINRA Arbitration Attorney:

SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers

The Securities and Exchange Commission recently charged a broker based in Roanoke, Va., with defrauding elderly customers, including some who are legally blind, by stealing their funds for her personal use and falsifying their account statements to cover up her fraud.

Boiler Room and Securities Fraud and Misrepresentation – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Litigation and Arbitration Attorney

Published on: September 15, 2014 | By Russell L. Forkey, P.A.

Boiler Room and Securities Fraud and Misrepresentation Litigation and Arbitration Attorney – West Palm Beach, Boca Raton and Fort Lauderdale, Florida.

Securities and Exchange Commission v. DDBO Consulting, Inc., et al., Civil Action No. 0:14-cv-61685-MGC (S.D. F.L.)

Securities and Exchange Commission v. CalPacific Equity Group, LLC, et al., Civil Action No. 2:14-cv-05754-JFW-AGR (C.D. C.A.)

Investment Advisory Conflict of Interest – West Palm Beach, Florida Investment Advisor Conflict of Interest Attorney

Published on: September 2, 2014 | By Russell L. Forkey, P.A.

South Florida, including West Palm Beach and Boca Raton Investment Advisor Conflict of Interest FINRA Arbitration and Litigation Attorney:

Houston-Based Investment Advisory Firm and Co-Owners Charged With Failing to Disclose Conflict of Interest to Clients

The Securities and Exchange Commission recently announced fraud charges against a Houston-based investment advisory firm accused of recommending that clients invest in particular mutual funds without disclosing a key conflict of interest: the firm was in turn receiving compensation from the broker offering the funds.

Accounting Fraud and Misrepresentation – South Florida Accounting Fraud, Misrepresentation and Negligence Litigation Attorney

Published on: August 24, 2014 | By Russell L. Forkey, P.A.

South Florida, including Boca Raton, Delray Beach, Lantana, West Palm Beach and Fort Lauderdale, Florida Accounting Fraud, Misrepresentation and Negligence Litigation Attorney:

California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme

The Securities and Exchange Commission recently announced charges against a Newport Beach, Calif.-based telecommunications equipment company and two former executives accused of improperly recognizing as revenue more than a million dollars’ worth of inventory that was shipped to a Florida warehouse but not actually sold.

Chimera Energy – IPO, Penny Stock and Microcap Fraud and Misrepresentation South Florida FINRA Arbitration and Litigation Attorney

Published on: August 16, 2014 | By Russell L. Forkey, P.A.

Microcap, Penny Stock and IPO Fraud and Misrepresentation Pump and Dump Scheme Litigation and Arbitration Attorney:

SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking

The Securities and Exchange Commission recently announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump scheme that misled investors to believe the company was on the brink of developing revolutionary technology to enable environmentally friendly oil-and-gas production.

Securities, Including Stocks and Bonds Custodian Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: August 12, 2014 | By Russell L. Forkey, P.A.

Securities, Including Stocks and Bonds Custodian Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Julian R. Brown and Alliance Investment Management Limited, Civil Action No. 14-CV-6130 (N.D. Ill., filed August 8, 2014)

SEC Charges Bahamas-Based Brokerage Firm and President with Facilitating Fraudulent Scheme by Hedge Fund Manager

John Thornes – South Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Published on: August 4, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Boynton Beach, Lake Worth, Delray Beach and Deerfield Beach, Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. John Thornes, Defendant, and Christopher Burnell, Kyle Larick, and Doreen Thornes, Relief Defendants, Civil Action No. 14-cv-06088 (C.D. Cal.)

SEC Charges California-Based Broker with Stealing Money from Accounts

CP Capital Securities, Inc. – Hollywood, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney

Published on: August 3, 2014 | By Russell L. Forkey, P.A.

Hollywood, Dania, Fort Lauderdale, Pompano Beach and Deerfield Beach, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney:

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 an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

The monthly disciplinary information is referenced on the FINRA site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:

Robert G. Bard – South Florida Securities and Bank Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: August 2, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Delray Beach, Boynton Beach, Lake Worth and West Palm Beach, Florida Investment Advisor Securities and Bank Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Robert Glenn Bard, et al., Civil Action No. 1:09-cv-1473 (M.D. Pa.)

Pennsylvania-Based Investment Adviser Charged in SEC and Criminal Actions Receives Prison Sentence

Kenneth Gross – Sale of Unregistered Stock – South Florida Investment and Securities Fraud Litigation and Arbitration Attorney

Published on: August 2, 2014 | By Russell L. Forkey, P.A.

South Florida Investment and Securities Fraud and Mismanagement Litigation and Arbitration Attorney:

Securities and Exchange Commission v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Civil Action No. 13-CV-04464-RGK (JCGx) (C.D. Cal. June 20, 2013)

Court Enters Judgment Against Unregistered Broker for Role in Investment Scheme Involving Purported Alzheimer’s Treatment