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

Post-Employment Restrictive Covenants - South Florida Restrictive Covenant Litigation and Arbitration Attorney

Post-Employment Restrictive Covenants - Insurance and other Businesses:

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).

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.

Margin - Leverage Abuse and Exploitation - South Florida Leverage and Margin Abuse, Exploitation and Manipulation FINRA Arbitration and Litigation Attorney

Leverage Abuse, Exploitation and Manipulation - South Florida State and Federal Fraud, Misrepresentation and Breach of Contract Attorney:

Gignesh Movalia, Edwin V. Gaw and OM Investment Management, LLC. - Florida Investment Advisor and Hedge Fund Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney

Securities and Exchange Commission v. OM Investment Management LLC, Gignesh Movalia, and Edwin V. Gaw, Civil Action No. 1:13-cv -23486-Martinez (S.D. Fla., filed September, 2013)

Frank Dappah and Yatalie Capital Management - Florida Excessive Investment Advisory Fee Litigation and FINRA Arbitration Attorney

Securities and Exchange Commission v. Frank Dappah and Yatalie Capital Management, et al., Civil Action No. 3:13-cv-00546 (W.D.N.C.)

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:

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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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