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Posts tagged "Investment Advisor Fraud and Mismanagement"

Hybrid Elder and Senior Financial Exploitation and Abuse - South Florida Senior, Elder and Retirement Abuse and Exploitation Litigation, FINRA Arbitration and Probate Estate Attorney

Hybrid Senior, Elder and Retirement Financial Abuse and Exploitation Arbitration, Litigation and Probate Estate Attorney, Russell L. Forkey, Esq.

Hybrid financial exploitation.

False and Misleading Sales and Promotional Materials - Florida Investment Adviser Fraud and Misrepresentation Litigation and Arbitration Attorney

Florida Investment Advisor and Broker/Dealer False and Misleading Offering and Promotional Materials Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney:

Collateralized Debt Obligation (CDO) - South Florida Investment Advisory Firm Fraud, Misrepresentation and Breach of Fiduciary Duty Arbitration and Litigation Attorney

South Florida Investment Advisor Fraud, Breach of Contract, Breach of Fiduciary Duty and Mismanagement Litigation and Arbitration Attorney:

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:

Unregistered Investment Advisor - Florida Unregistered Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Brian K. Velten, Civil Action No. 1:13-cv-23477 (S.D. Fla.)

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)

Benjamin S. Staples and Benjamin O. Staples - Florida Terminally Ill Investment and Securities Fraud Litigation and FINRA Arbitration Attorney

SEC Charges Father and Son in South Carolina for Fraudulent Program Designed to Profit From Fate of Terminally Ill

Walter v. Gerasimowicz, Meditron Asset Management, LLC., and Meditron Management Group, LLC. - South Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission Decision as to Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC, is Declared Final

The initial decision of an administrative law judge with respect to Walter V. Gerasimowicz, Meditron Asset Management, LLC ("MAM"), and Meditron Management Group, LLC ("MMG") (Respondents), has become final. The law judge found that on May 3, 2013, after Respondents' offer of settlement, the Commission issued an order (Continuation Order) that required Respondents to pay disgorgement and third-tier civil penalties. The disgorgement and penalty amounts were decided by summary disposition, pursuant to 17 C.F.R. ' 201.250. Walter V. Gerasimowicz, Admin. Proc. No. 3-15024 (A.L.J. Apr. 19, 2013). The Respondents were ordered to pay disgorgement, jointly and severally, of $3,143,029.41, plus prejudgment interest, and pay third-tier civil penalties, jointly and severally, of $1,950,000.

Unit Investment Trust (UIT) - South Florida Investment Adviser Securities and Investment Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of Sarkauskas & Associates, Inc. and James M. Sarkauskas

South Florida Money Manager Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission Charges Purported Money Manager in New York Who Schemed Investors and Lied to Commission Examiners

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