Russell L. Forkey, P.A.Attorney at law
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Breach of Fiduciary Duty Archives

Annuity Fraud and Misrepresentation and Elder Abuse - Florida Annuity and Insurance Fraud FINRA Arbitration and Litigation Attorney

South Florida Elder Abuse Insurance and Annuity Fraud and Misrepresentation Attorney Russell L. Forkey, Esq.

South Florida Investment Adviser Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Tampa, Fort Meyers and Naples, Florida Investment Adviser Fraud, Breach of Fiduciary Duty and Misrepresentation FINRA Arbitration and State and Federal Court Litigation Attorney:

FAQ's Margin - Fort Lauderdale, Florida Margin Abuse and Negligence FINRA Arbitration and Litigation Attorney

Margin Abuse, Margin Miscalculation and Excessive Margin - South Florida FINRA Arbitration and Litigation Attorney:

Common Stock, Preferred Stock, Corporate Bonds, Municipal Bonds, ETF's and Mutual Funds - South Florida Securities and Investment Fraud, Negligence and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Common Stocks, Preferred Stocks, Corporate Bonds, Municipal Bonds, Promissory Notes, Exchange-Traded Funds (ETF's), and Mutual Funds - South Florida Securities and Investment Fraud, Negligence and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney:

Charlotte Bredal Oliver - Florida Variable and Fixed Annuity, Life and Health Insurance Fraud and Misrepresentation Litigation and Arbitration Attorney

Florida Variable and Fixed Annuity, Life and Health Insurance Fraud and Misrepresentation Attorney:

Matthew Watson Shaw Consent Order - South Florida Insurance and Variable Annuity Consumer Advocate Litigation and Arbitration Attorney

Variable Annuity Misrepresentation - Florida Litigation and Arbitration Attorney:

OX Trading, LLC, optionsXpress, Inc. and Thomas E. Stern - South Florida Option Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern

The Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to OX Trading, LLC and optionsXpress, Inc. (OX Order). The OX Order finds that OX Trading, LLC (OX Trading) willfully violated Sections 15(a) and 15(b)(8) of the Securities Exchange Act of 1934 by operating as an unregistered dealer from October 2009 to November 2010 and transacting in securities while not a member of a national securities association or a national exchange from March 2009 to November 2010, respectively. The OX Order also finds that optionsXpress, Inc. caused OX Trading's violations. The OX Order ordered OX Trading and optionsXpress to cease and desist and ordered OX Trading to pay $2,750,000 in disgorgement, prejudgment interest of $253,094.39, and a civil money penalty of $750,000. (Rel. 34-70739).

Equity Indexed Annuity - South Florida Insurance and Securities Fraud FINRA Arbitration and Litigation Attorney

Equity Indexed Annuity (Elder Abuse) - Fort Lauderdale, Boca Raton, Delray Beach, Lake Worth and West Palm Beach, Florida Insurance (fixed and variable annuity) and Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney:

Broker - Dealers (How to Identify One) - Florida Securities and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Miami, Fort Lauderdale, Boca Raton and West Palm Beach Florida Investment Fraud and Misrepresentation FINRA Arbitration, AAA Arbitration, JAMS Arbitration, State and Federal Court Litigation Attorney, Russell L. Forkey, Esq.

Master Limited Partnership v. Public Limited Partnership - Florida Limited Partnership Federal, State and Arbitration Attorney

Master Limited Partnership v. Public Limited Partnership - Florida Limited Partnership - Federal and State Litigation Attorney: Fraud in the Inducement, breach of the partnership agreement, mismanagement of the partnership, self-dealing and fraud in the operation of the partnership.

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Russell L. Forkey, P.A.
1075 Broken Sound Parkway NW, Suite 103
Boca Raton, FL 33487

Toll Free: 888-671-0962
Phone: 954-514-9605
Fax: 561-406-4633
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