FINRA Archives

Oriental Financial Services Corp. - South Florida Unsuitable Puerto Rico Bond Investment FINRA Arbitration Attorney

On behalf of Russell L. Forkey, P.A. posted in Broker/Dealer on Saturday, August 22, 2015.

Oriental Financial Services Corp. - South Florida Unsuitable Puerto Rico Bond Investment 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.

Bradley Thomas Badger - Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney

On behalf of Russell L. Forkey, P.A. posted in Broker/Dealer on Sunday, October 5, 2014.

Bradley Thomas Badger - Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney

Luciano Andres Battioli - Boca Raton, Florida Account Executive Conversion and Theft FINRA Arbitration and Litigation Attorney

On behalf of Russell L. Forkey, P.A. posted in Broker/Dealer on Sunday, October 5, 2014.

Luciano Andres Battioli - Boca Raton, Florida Account Executive Conversion and Theft FINRA Arbitration and Litigation Attorney

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

On behalf of Russell L. Forkey, P.A. posted in Breach of Fiduciary Duty on Tuesday, September 2, 2014.

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

Registration of Dealers, Associated Persons and Investment Advisers in Florida - South Florida Securities Attorney

On behalf of Russell L. Forkey, P.A. posted in Broker/Dealer on Friday, August 1, 2014.

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida - South Florida Securities Attorney:

Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that:

Deferred Annuity FAQ's For The Agent Or Company - Boca Raton, Fort Lauderdale and West Palm Beach Annuity Fraud and Abuse FINRA Arbitration and Litigation Attorney

On behalf of Russell L. Forkey, P.A. posted in Annuity on Sunday, June 8, 2014.

FAQ's that should be asked to your insurance agent, account executive or company prior to considering the purchase, exchange or sale of a deferred annuity.

There are a series of basic questions that you should ask your agent or company when considering deferred annuities. This list is not designed to be complete in all material respects. It is being provided as a general guide. Thus, it should not be relied upon as legal or investment advice.

Total Wealth Management and Jacob Cooper - South Florida Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

On behalf of Russell L. Forkey, P.A. posted in Breach of Contract on Wednesday, April 16, 2014.

South Florida, including Hollywood, Fort Lauderdale, Pompano Beach, Deerfield Beach, Boca Raton and Delray Beach, Florida Investment Advisor Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney:

Hugh Robert Hunsinger, Jr. - South Florida Broker/Dealer and Account Executive Elder Financial Abuse and Exploitation, Theft, Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney

On behalf of Russell L. Forkey, P.A. posted in Breach of Fiduciary Duty on Sunday, March 30, 2014.

South Florida Broker/Dealer and Account Executive Elder, Senior and Retirement Financial Abuse and Exploitation, Negligent Supervision, Breach of Fiduciary and Theft FINRA Arbitration, Litigation and Probate Attorney:

Harry Shaw Hammond - South Florida Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney

On behalf of Russell L. Forkey, P.A. posted in Breach of Fiduciary Duty on Sunday, March 30, 2014.

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary, Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney:

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

On behalf of Russell L. Forkey, P.A. posted in Breach of Fiduciary Duty on Saturday, March 29, 2014.

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