South Florida Arbitration & Litigation Lawyer Blog

Florida FINRA Investment and Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. January, 2011: Jupiter Distribution Partners, Inc. (CRD #130850, Greenacres, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000. Without admitting or denying the findings, the firm consented to the described sanctions and to…

FINRA Municipal and Corporate Bond Fraud and Misrepresentation Arbitration Attorney, Russell L. Forkey, Esq. July, 2011: Janney Montgomery Scott LLC (CRD #463, Philadelphia, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $75,000. Without admitting or denying the findings, the firm consented to the described sanctions and…

FINRA Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. January, 2011: Janney Montgomery Scott, LLC (CRD #463, Philadelphia, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $175,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of…

South Florida FINRA Securities Investment Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. January, 2011: First American Capital and Trading Corporation (CRD #118812, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $22,500. Without admitting or denying the findings, the firm consented to the…

FINRA Arbitration Bond Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. January, 2011: Fidelity Brokerage Services LLC (CRD #7784, Smithfield, Rhode Island) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $35,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the…

FINRA Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq. January, 2011: Cohen & Company Securities, LLC (CRD #104002, Philadelphia, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $50,000, ordered to pay $899,251, plus interest, in restitution to customers, and required to review its supervisory system and…

FINRA Securities Fraud and Investment Fraud and Mismanagement Arbitration Attorney, Russell L. Forkey, Esq. FINRA January, 2011 Enforcement Actions: Cambridge Legacy Securities, L.L.C. (CRD #103722, Dallas, Texas) and Tommy Edward Fincher (CRD #1725266, Registered Principal, Mesquite, Texas) submitted a Letter of Acceptance Waiver and Consent in which the firm was censured and ordered to pay…

West Palm Beach, Florida Securities Fraud and Mismanagement FINRA Arbitration Lawyer, Russell L. Forkey, Esq. This page will provide monthly links to both the results of stipulated FINRA enforcement awards and FINRA complaints for the calender year 2011, by month in ascending order. In addition to providing information relative to the results of certain publically…

Account Executive and Broker/Dealer Fraud and Misrepresentation FINRA Arbitration and Litigation Lawyer, Russell L. Forkey, Esq. December, 2010: Tracy Marie Lamoreaux (CRD #4578811, Registered Rep., Phoenix, Arizona) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings,…

Broker/Dealer and Account Executive Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. December, 2010: Jason Michael Mutascio (CRD #4156832, Registered Rep., Aventura, Florida) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Mutascio consented…