Russell L. Forkey, P.A.Attorney at law
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Unauthorized Trading Archives

Kelly Marvin Barnett - Unauthorized Discretion, Unit Investment Trusts - Boca Raton, Florida FINRA Abribration Attorney

Unauthorized Discretion, Unsuitable Investment - Unit Investment Trust - South Florida, including Deerfield Beach, Boca Raton and Lake Worth FINRA Arbitration Attorney.

Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida):

Brian John Hussey, Jr. - Unsuitable Trade Recommendations and Unauthorized Discretion

Unsuitable Trade Recommendations and Unauthorized Discretion - South Florida, including Boca Raton and West Palm Beach, FINRA Arbitration Attorney.

Brian John Hussey Jr. (CRD #4640067, Zephyrhills, Florida)

South Florida Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney

Fort Lauderdale, Boca Raton, Delray Beach, Lantana, Lake Worth and West Palm Beach, Florida Elder Financial Abuse and Exploitation Litigation and FINRA Arbitration Attorney:

SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers

Dawson James Securities, Inc. - Boca Raton, Florida Broker/Dealer Sales Practice Violations FINRA Arbitration and Litigation Attorney

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Stop Limit Order - Special Order and/or Trading Instruction - South Florida Broker/Dealer, Investment Advisor, Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration Attorney

Special Orders and Trading Instructions - South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney:

Stop Order - Special Order and/or Trading Instruction - South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney

Special Orders and Trading Instructions - South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney:

Corporate and High Yield Bonds - South Florida Corporate and High Yield Bond Breach of Fiduciary Duty and Unsuitability FINRA Arbitration and Litigation Attorney

Corporate and Corporate High Yield Bond Breach of Fiduciary, Unsuitability, Churining and Unauthorized Purchase and Sale FINRA Arbitration, Litigation and Probate Attorney:

South Florida Broker/Dealer and/or Account Executive Negligent Supervision, Selling Away and Unapproved Outside Business Activity FINRA Arbitration, Litigation and Probate Estate Attorney

South Florida Broker/Dealer and/or Account Executive Negligent Supervision, Selling Away and Unapproved Outside Business Activity FINRA Arbitration, Litigation and Probate Estate Attorney.

Irving Marvin Burstein - South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration, Litigation and Probate Attorney

Irving Marvin Burstein - South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration, Litigation and Probate Estate Attorney.

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Russell L. Forkey, P.A.
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