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Posts tagged "Investment Advisor Fraud and Mismanagement"

South Florida Investment Advisor Misappropriation State and Federal Litigation Attorney

Securities and Exchange Commission v. Timothy J. Roth, et al., Civil Action No. 11-cv-02079 (C.D. Ill.)

Gregg D. Caplitz and Onsite Strategic Management - Boca Raton, Florida Investment Advisor Fraud and Mismanagement Litigation and FINRA Arbitration Attorney

Securities and Exchange Commission v. Gregg D. Caplitz, et al., Civil Action No. 1:13-cv-10612-MLW (D.Mass.)

Howard Brett Berger and Michelle Berger - Florida Common and Preferred Stock Fraud, Mismanagement and Breach of Contract FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Howard Brett Berger and Michelle Berger, CV-12 4728 (E.D. N.Y. September 21, 2012)

Delsa U. Thomas, The D. Christopher Capital Group, LLC and The Solomon Fund LP - Florida Investment Advisor Ponzi Scheme and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Delsa U. Thomas, et al., Civ. Action No. 3:13-cv-00739-L (N.D. Tex., Dallas Division, filed February 14, 2013)

Timothy J. Roth - Florida Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Timothy J. Roth, et al., Civil Action No. 11-cv-02079 (C.D. Ill.)

Kenneth A. Dachman - Miami, Florida Investment and Securities Fraud and Mismanagement Litigation and FINRA Arbitration Attorney

Kenneth A. Dachman Sentenced to 10 Years in Prison and Ordered to Pay Over $4 Million in Restitution

The Securities and Exchange Commission (SEC) announced that on January 17, 2013, in a criminal action brought by the U.S. Attorney's Office for the Northern District of Illinois, the Honorable James B. Zagel in the Northern District of Illinois sentenced Kenneth A. Dachman (Dachman) to 120 months in prison on 11 counts of wire fraud and ordered Dachman to pay more than $4 million in restitution to his victims. Judge Zagel also ordered Dachman to be placed on three years of supervised released following his prison sentence. [USA v. Kenneth A. Dachman, Case No. 1:11-CR-00504, USDC, N.D. Ill.].

Raymond Y.H. Park - Cooper City, Florida Investment Advisor and Broker/Dealer Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of Raymond Y.H. Park

Recently, the Securities and Exchange Commission (the "Commission") issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Raymond Y.H. Park. The Order finds that Park was the head trader for Tiger Asia Fund, L.P., and Tiger Asia Overseas Fund, Ltd., two private funds (the Funds), managed by Tiger Asia Management, LLC (TAM), an investment adviser registered with the Commission. The Order further finds that on December 14, 2012, a final judgment was entered by consent against Park, permanently enjoining him from future violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled SEC v. Tiger Asia Management, LLC, et al., 12 cv 07601 (DMC), in the United States District Court for the District of New Jersey.

Sung Kook Hwang - Lauderhill, Florida Investment Advisor and Broker/Dealer Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of Sung Kook Hwang

Recently, the Securities and Exchange Commission (the "Commission") issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Sung Kook (Bill) Hwang. The Order finds that Hwang was the sole principal and portfolio manager for Tiger Asia Fund, L.P., and Tiger Asia Overseas Fund, Ltd. (the Funds), both private funds, and the managing member of Tiger Asia Management, LLC (TAM), an investment adviser registered with the Commission.

Collateralized Loan Obligations and Collateralized Debt Obligations - Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs

Aletheia Research and Management and Peter J. Eichler, Jr. - Florida Broker/Dealer and Investment Advisor Cherry-Picking Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., United States District Court for the Central District of California, Civil Action No. 12-cv-10692-JFW-(RZx)

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