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

High Yield - Junk Bond - Florida Investment Loss Litigation and FINRA Arbitration Attorney

High Yield - Junk Bond Investment Loss - Florida Litigation and FINRA Arbitration Attorney:

Sean Robert Stropp, Karl Spicer, Ricardo Garcia and PMCO Services, Inc. - Florida Precious Metals Fraud and Misrepresentation Litigation and Arbitration Attorney

South Florida Precious Metals Fraud, Misrepresentation and Breach of Fiduciary Duty Litigation and Arbitration Attorney:

Blake Richards - South Florida Retirement Funds Misappropriation and Theft FINRA Arbitration and Litigation Attorney

South Florida Retirement and Elder Care Misappropriation and Theft FINRA Arbitration and Litigation Attorney:

Cash Basis of Accounting, Accrual Method of Accounting and Modified Cash Basis of Accounting - Florida Breach of Contract, Breach of Fiduciary Duty, Fraud and Accounting Negligence Litigation Attorney

Cash Basis of Accounting, Accrual Method of Accounting and Modified Cash Basis:  South Florida Accounting Negligence and Breach of Contract Commerical Litigation Attorney, Russell L. Forkey, Esq.

Premium Bond - Florida Municipal, Corporate and Revenue Bond Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Municipal, Corporate and Revenue Bond - South Florida Breach of Fiduciary Duty, Breach of Contract and Negligence FINRA Arbitration and Litigation Attorney:

Preliminary Prospectus (Official Statement) - South Florida Fraudulent and Misleading Offering Document FINRA Arbitration and Litigation Attorney

Preliminary Prospectus, Preliminary Offering Document, Preliminary Official Statement - South Florida Fraud, Misrepresentation and Omission FINRA Arbitration and Litigation Attorney:

Put and Call Option Premium - South Florida Option Abuse, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney

Put and Call Option Premium Income - South Florida Option Abuse, Excessive Activity, Breach of Fiduciary Duty, Negligent Supervision FINRA Arbitration and Litigation Attorney:

Steven J. Brewer - South Florida Promissory Note Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

In the Matter of Steven J. Brewer:

Yield To Maturity (YMT) - South Florida Fixed Income Breach of Fiduciary Duty, Negligent Supervision and Fraud FINRA Arbitration and Litigation Attorney

Yield to Maturity (YTM) - South Florida Breach of Fiduciary Duty, Negligent Supervision and Breach of Contract Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq.

Alfred Clay Ludlum III - South Florida Investment Adviser Fraud, Breach of Fiduciary Duty and Misrepresentation Litigation and FINRA Arbitration Attorney

The Securities and Exchange Commission Bars Alfred Clay Ludlum III Following His Injunction for Anti-Fraud Violations of the Securities Laws

The Securities and Exchange Commission recently announced that it has barred Alfred Clay Ludlum III, a registered investment adviser and the founder, president, and sole control person of Printz Capital Management, LLC, Printz Financial Group, Inc., and PCM Global Holdings, LLC, from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Commission found that Ludlum agreed, among other things, to be permanently enjoined from future violations of the antifraud provisions of the federal securities laws. Based on the circumstances underlying that injunction, the Commission determined that the public interest required a full securities industry bar, noting that Ludlum defrauded investors-including several to whom he owed a fiduciary duty-out of approximately $850,000 and that he subsequently attempted to mislead regulators and thwart their investigations. The Commission concluded that an industry-wide bar was necessary because "Ludlum's repeated and egregious misconduct evidences an unfitness to participate in the securities industry that goes beyond just the professional capacity in which Ludlum was acting when he engaged in the misconduct underlying these proceedings." Commissioners Paredes and Gallagher concurred in the Commission's decision, but dissented with respect to Commission's decision to bar Ludlum from association with municipal advisors and nationally recognized statistical rating organizations.

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Russell L. Forkey, P.A.
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