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Posts tagged "Mutual Fund Fraud and Mismanagement"

Legend Equities Corporation - Mutual Fund Abuse FINRA Arbitration Attorney

Legend Equities Corporation - Mutual Fund Abuse FINRA Arbitration Attorney:

Legend Equities Corporation (CRD #30999, Palm Beach Gardens, Florida) recently submitted an Acceptance, Waiver and Consent in which the firm was censured and required to provide FINRA with a plan to remediate eligible customers who qualified for, but did not receive, the applicable mutual fund sales-charge waiver. As part of this settlement, the firm agrees to pay restitution to eligible customers, which is estimated to total $2,300,188 (the amount eligible customers were overcharged, inclusive of interest). The firm will also ensure that retirement andcharitable waivers are appropriately applied to all future transactions. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it disadvantaged certain retirement plan and charitable organization customers thatwere eligible to purchase Class A shares in certain mutual funds without a front-end sales charge.

Leveraged - Inverse Mutual Funds - Risk vs. Rewards - Boca Raton, Florida FINRA Arbitration Attorney

Leveraged - Inverse Mutual Funds - Risk vs. Rewards - Boca Raton, Florida FINRA Arbitration 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.

Concealing Poor Performance of Fund Assets - South Florida Securities and Investment Mismanagement Attorney

Concealing Poor Performance of Fund Assets - South Florida Securities and Investment Mismanagement Attorney

SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors

Wealth Strategy Partners, LC, Harvey Altholtz, Stevens Resource Group, LLC and George Stevens - Boca Raton, Florida Investment Fund and Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney

Wealth Strategy Partners, LC, Harvey Altholtz, Stevens Resource Group, LLC and George Stevens - Boca Raton, Florida Investment Fund and Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney

Securities and Exchange Commission v. Wealth Strategy Partners, LC, et al., Civil Action No. 14-CV-02427-JDW-TGW

Mutual Fund - Boca Raton, Florida Mutual Fund Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Mutual Fund Unsuitability and Breach of Fiduciary Duty - Boca Raton, Florida FINRA Arbitration and Litigation Attorney.

A mutual fund is a fund operated by an investment company that raises money from shareholders and invests in bonds, options, currencies, money market securities, futures, or stocks.  Mutual funds are offered by prospectus.  The prospectus describes, among other things, the investment objectives of the mutual fund, the types of investments within the fund, the investment strategies utilized by the fund managers and the risks associated therewith.

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

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

Keith Andrew Halsnik - Florida Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney

Florida Securities Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney:

Asset Management, Cash Management or Active Assets Account - South Florida Broker/Dealer Fraud, Mismanagement or Breach of Fudiciary Duty FINRA Arbitration and Litigation Attorney

Cash Management, Active Asset, Asset Management or Wrap Accounts - Hollywood, Fort Lauderdale, Margate, Davie, Pompano Beach, Boca Raton and Royal Palm Beach, Florida FINRA Arbitration and Litigation Attorney:

No-Load Fund - Florida Mutual Fund Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

No-Load Mutual Fund - South Florida Mutual Fund Breach of Fiduciary Duty, Negligence and Breach of Contract FINRA Arbitration and Litigation Attorney:

Income Mutual Fund - South Florida Mutual Fund Abuse and Loss FINRA Arbitration and Litigation Attorney

Income and Growth Mutual Fund Abuse, Fraud and Mismanagement Principal and Income Loss FINRA Arbitration and Litigation Attorney:

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