In The News

Jenks & Harvey LLP In The News

MAY 26, 2020

Robert Harvey Quoted In Article Regarding How COVID-19 is Affecting Attorney Income

Lawyers across the U.S. respond to questions about how their income, client and case intake has changed since the pandemic. Here’s what Floridians reported. Read more…

FEBRUARY 6, 2020

Jenks & Harvey LLP Wins At FINRA Arbitration In Memphis, Tennessee

MEMPHIS, TN, (February 6, 2020)-A FINRA arbitration panel in Memphis, Tennessee dismissed all claims filed against two Respondents represented by Jenks & Harvey LLP relating to their alleged intentional interference with Claimant’s business. The panel dismissed the claims at the conclusion of Claimant’s case-in-chief after three hearing days. (FINRA Case ID 18-01022, Ty Kevin Bauer v. Donald C. Blackwell, et al)

The decision was unanimous. The defense was led by Jenks & Harvey LLP partners Debra A. Jenks and Robert J. Harvey.  Read more…

JANUARY 9, 2020

Debra Jenks Quoted In Article Regarding FINRA And Fines Issued To Ex-Morgan Stanley Broker

The Financial Industry Regulatory Authority suspended and fined an ex-Morgan Stanley broker with over 50 years of experience for making unapproved personal investments in private securities during his tenure at the wirehouse. Read more…

DECEMBER 13, 2019

Robert J. Harvey Presents “FINRA Arbitration Hot Topics For 2020”

Jenks & Harvey LLP, is pleased to announce that Robert J. Harvey was a panelist for the Knowledge Group’s nationwide webinar – “FINRA Arbitration Hot Topics for 2020: Updates You Should Know.” Read more…

NOVEMBER 5, 2019

Debra Jenks Quoted In Article Regarding TRO Against Florida Broker Who Joined UBS

JPMorgan Chase & Co. has gone to court to block a former bank-branch-based broker in Plantation, Florida, from reaching out to former clients about moving their accounts to UBS Wealth Management USA. Read more…

OCTOBER 18, 2019

Debra Jenks Quoted In Article Regarding Broker Approving Trades For Deceased Customer

The Financial Industry Regulatory Authority this week fined and suspended Charles Bridgers, a veteran North Carolina broker who entered orders in a customer’s account without permission, and wrote in Wells Fargo Advisors’ customer relationship management system that the orders were authorized. Read more…

SEPTEMBER 9, 2019

Debra Jenks Quoted In Article Regarding Delegating Test-Taking

In another reminder of why brokers should resist cutting compliance corners, the Financial Industry Regulatory Authority has fined and suspended an Oppenheimer & Co. broker who allegedly had his client service associate complete his continuing education modules for four years. Read more…

AUGUST 27, 2019

Debra A. Jenks Quoted In Article Fines To Wells Fargo For Failing To Register Some Massachusetts Brokers 

Wells Fargo Clearing Services, LLC has agreed to pay Massachusetts a fine of $450,000 for allegedly failing to properly register brokers who were conducting securities business in the state as recently as last summer. Read more…

JULY 30, 2019

Debra A. Jenks Presents FINRA Arbitration And Enforcement In 2019 And Beyond

Jenks & Harvey LLP, is pleased to announce that Debra A. Jenks was a panelist for the Knowledge Group’s nationwide webinar “FINRA Arbitration and Enforcement in 2019 and Beyond: Hot Buttons to Consider.”

JULY 02, 2019

Governor Ron DeSantis Reappoints Robert J. Harvey To Judicial Nominating Commission

Jenks & Harvey LLP, is pleased to announce that Robert J. Harvey has been reappointed by Governor Ron DeSantis to the Judicial Nominating Commission (“JNC”) for the Fifteenth Judicial Circuit in Palm Beach County. Mr. Harvey’s term will end on July 1, 2023 and he will continue to serve as the commission’s Vice Chair. In October 2015, Robert was appointed by then Florida Governor Rick Scott to the JNC for the Fifteenth Judicial Circuit for a term ending July 1, 2019.

Judicial Nominating Commissions (JNCs) select nominees to fill judicial vacancies within the Florida court system. There are twenty-seven separate JNCs: one for the Florida Supreme Court; five for each of the district courts of appeal or “appellate districts”; twenty for each circuit court and the county courts contained in that circuit; and one Statewide Commission for Judges of Compensation Claims. Commission members submit three to six names of the most highly qualified applicants to the governor, who makes the final selection from the list. Read more…

JUNE 20, 2019

Jenks & Harvey LLP Presents FINRA Arbitration 2019-Regulatory Trends And Arbitration Procedures

Jenks & Harvey LLP, is pleased to announce that Debra A. Jenks and Robert J. Harvey presented ProLawCLE’s nationwide webinarFINRA Arbitration 2019-Regulatory Trends and Arbitration Procedures.

MAY 20, 2019

Jenks & Harvey LLP Prevails At FINRA Arbitration In Omaha, Nebraska

A FINRA arbitration panel in Omaha, Nebraska dismissed all claims filed against four Respondents represented by Jenks & Harvey LLP relating to the alleged fraudulent solicitation of certain oil and gas investments. The panel granted separate motions to dismiss under FINRA Rule 12504. (FINRA Case ID 17-02855, Donald L. and Beverly C. Hamill v. Intl Custody & Clearing Solutions Inc., et al)

The decision was unanimous. The defense was led by Jenks & Harvey LLP partners Debra A. Jenks and Robert J. Harvey. Read more…

APRIL 2019

$1,205,000 Recovery In A FINRA Arbitration-Settlement

$1,205,000 recovered from a major brokerage firm for clients who lost money investing in Puerto Rico closed-end funds.

MARCH 20, 2019

Robert J. Harvey Presents How to Handle FINRA Rule 8210: A Comprehensive Guide

Jenks & Harvey LLP, is pleased to announce that Robert J. Harvey was a panelist for the Knowledge Group’s nationwide webinar “How to Handle FINRA Rule 8210: A Comprehensive Guide.” Read more…

SEPTEMBER 7, 2018

Debra A. Jenks Presents FINRA Arbitrations: A Comprehensive Guide for 2018 And Beyond

Jenks & Harvey LLP, is pleased to announce that Debra A. Jenks was a panelist for the Knowledge Group’s nationwide webinar “FINRA Arbitrations: A Comprehensive Guide for 2018 and Beyond.” Read more…

AUGUST 28, 2018

Jenks & Harvey LLP Presents FINRA Arbitration Issues & Strategies

Jenks & Harvey LLP, is pleased to announce that Debra A. Jenks and Robert J. Harvey presented ProLawCLE’s nationwide webinar FINRA Arbitration Issues & Strategies.

MARCH 7, 2018

Jenks & Harvey LLP Victorious In Options Trading Dispute At FINRA

All Claims Dismissed With Prejudice

A FINRA arbitration panel in Atlanta, Georgia dismissed all claims with prejudice in favor of a broker-dealer represented by Jenks & Harvey LLP relating to trades involving ProShares Ultra VIX Short-Term Futures ETF (“UVXY”) options. The panel granted a motion to dismiss after the conclusion of claimant’s case-in-chief. (FINRA Case ID 16-03721, Sterling Huntley v. Apex Clearing Corporation and TradingBlock.)

The decision was unanimous. The defense was led by Jenks & Harvey LLP partners Debra A. Jenks and Robert J. Harvey. Read more…

DECEMBER 19, 2017

Jenks & Harvey LLP Prevails On Million Dollar Indemnification Claim In Industry Dispute

A FINRA arbitration panel in Tampa, Florida awarded $1,088,063 in compensatory damages and interest in favor of a broker-dealer represented by Jenks & Harvey LLP, relating to the cancellation of a trade involving AgriBank FCB bonds. (FINRA Case ID 16-01718, Suntrust Robinson Humphrey, Inc. v. Calton & Associates, Inc. v. William Blair & Company L.L.C.).

The decision was unanimous. The defense was led by Jenks & Harvey LLP partners Debra A. Jenks and Robert J. Harvey. Read more…

AUGUST 25, 2017

Robert J. Harvey Elected As Judicial Nominating Commission’s Vice Chair

The firm of Jenks & Harvey is pleased to announce that Robert J. Harvey, who was previously appointed to the Judicial Nominating Commission for the Fifteenth Judicial Circuit, has been elected the commission’s vice chair. In October 2015, Robert was appointed by Florida Governor Rick Scott to the Judicial Nominating Commission for the Fifteenth Judicial Circuit. His role as Vice Chair will run through July 2018 and he will remain on the commission through July 2019.

Judicial Nominating Commissions (JNCs) select nominees to fill judicial vacancies within the Florida court system. There are twenty-seven separate JNCs: one for the Florida Supreme Court; five for each of the district courts of appeal or “appellate districts”; twenty for each circuit court and the county courts contained in that circuit; and one Statewide Commission for Judges of Compensation Claims. Commission members submit three to six names of the most highly qualified applicants to the governor, who makes the final selection from the list.

JULY 26, 2017

Debra A. Jenks Named Securities Litigation Super Lawyer For 2017

Jenks & Harvey is pleased to announce that Debra A. Jenks was once again named as a Super Lawyer in Securities Litigation for 2017. Super Lawyers is a renowned organization that provides lawyer ratings of selected lawyers based on location and focused on all legal issues. Jenks has been named a Super Lawyer in Securities Litigation annually since 2012.

MAY 9, 2017

Robert J. Harvey Appointed To The Land Development Regulation Advisory Board

The firm of Jenks & Harvey is excited to share that Robert J. Harvey was appointed by Palm Beach County Commissioner Mack Bernard (District 7) to the Land Development Regulation Advisory Board (“LDRAB”).

The LDRAB, a division of the Palm Beach County Planning, Zoning and Building Department, periodically reviews the provisions to the Palm Beach County Unified Land Development Code (“Code”) and makes recommendations to the Board of County Commissioners. Robert is thrilled and he will remain on the LDRAB through February 2019.

MAY 2017

$700,000 Recovery In A FINRA Arbitration-Settlement

$700,000 recovered from a major brokerage firm for clients who lost money investing in Puerto Rico closed-end funds.

DECEMBER 23, 2016

Successfully Defended Investment Firm At FINRA Arbitration

A FINRA arbitration panel in Miami, Florida denied all claims against an investment firm represented by Jenks & Harvey LLP (FINRA Case ID 15-01917).

The defense was led by Jenks & Harvey LLP partner Robert J. Harvey. The investment firm was sued for alleged failure to repay monies owed to its broker-dealer, in connection with multiple securities purchases on margin. All claims against the investment firm were dismissed with prejudice. Read more…

AUGUST 1, 2016

Recovered $500,000 For Investors In Puerto Rico Closed-End Funds

A FINRA arbitration panel awarded damages to investors in Puerto Rico closed-end mutual funds, in the sum of $500,000, represented by Jenks & Harvey LLP (FINRA Case ID 13-03470).

The investors were represented by Debra A. Jenks and Robert J. Harvey of Jenks & Harvey LLP, Harold D. Vicente Colon, Esq., Vicente & Cuebas, and Francisco Pujol, Esq., Pujol Law Office, San Juan, Puerto Rico. Read more…

JULY 12, 2016

Governor Rick Scott Appoints Debra A. Jenks To Judicial Nominating Commission

Jenks & Harvey LLP, is pleased to announce that Debra A. Jenks was reappointed by Florida Governor Rick Scott to the Judicial Nominating Commission for the Fourth District Court of Appeal. Debra will remain on the commission through July 2020.

Judicial Nominating Commissions (JNCs) select nominees to fill judicial vacancies within the Florida court system. There are twenty-seven separate JNCs: one for the Florida Supreme Court; five for each of the district courts of appeal or “appellate districts”; twenty for each circuit court and the county courts contained in that circuit; and one Statewide Commission for Judges of Compensation Claims. Commission members submit three to six names of the most highly qualified applicants to the governor, who makes the final selection from the list.

FEBRUARY 29, 2016

Robert J. Harvey Speaks On Investment Opportunities In Latin America

Robert J. Harvey of Jenks & Harvey LLP in West Palm Beach was a panelist at the 22nd Annual Alpha Hedge East Conference at the PGA National Resort & Spa, Palm Beach Gardens, Florida.

The panel addressed the topic of “Investment Opportunities in Latin America.” Robert presented on the legal and regulatory challenges facing broker-dealers and hedge funds in Puerto Rico and Central America, as well as the opportunities available to develop business in the region.

The distinguished panel included Ambassador Arturo Sarukhan, Sarukhan & Associates, Alfonso Montero, Chief Investment Officer, Credicorp Capital, Ankur Keswani, Senior Managing Director, Serengeti Asset Management, and was moderated by Nanette Aguirre, Shareholder, Greenberg Traurig

The Alpha Hedge event series is renowned for its long history of delivering value for investment professionals who understand the importance of in-person networking and thought-exchange.

OCTOBER 22, 2015

Florida Governor Rick Scott Appoints Robert J. Harvey To Judicial Nominating Commission

Jenks & Harvey LLP is pleased to announce that Robert J. Harvey was appointed by Florida Governor Rick Scott to the Judicial Nominating Commission for the Fifteenth Judicial Circuit. Robert will remain on the commission to July 2019.

Judicial Nominating Commissions (JNCs) select nominees for appointment by the Governer to fill judicial vacancies within the Florida court system. There are twenty-seven separate JNCs: one for the Florida Supreme Court; five for each of the District Courts of Appeal or “appellate districts”; twenty for each circuit court and the county courts contained in that circuit; and one Statewide Commission for Judges of Compensation Claims. Commission members submit three to six names of the most highly qualified applicants to the Governor, who makes the final selection from the list.

AUGUST 21, 2015

Jenks & Harvey LLP Successfully Defends Broker At FINRA Arbitration

A FINRA arbitration panel in Baltimore, Maryland denied all claims against a broker who was represented by Jenks & Harvey LLP (FINRA Case ID 13-00209).

The decision was unanimous. The defense was led by Jenks & Harvey LLP partner Robert J. Harvey.

The claims related to the Claimant’s investment in an allegedly unsuitable private placement. The broker was alleged to have made false and misleading statements, negligent misrepresentations, and breached his fiduciary duty concerning the private placement. Compensatory damages and post-judgment interest were awarded against the broker’s former broker-dealer, who was separately represented. Read more…

AUGUST 5, 2015

Jenks & Harvey LLP Successfully Defends General Counsel At FINRA Arbitration

A FINRA arbitration panel in Tampa, Florida denied all claims, including a request for injunctive relief, against a former general counsel who was represented by Jenks & Harvey LLP (FINRA Case ID 14-00079).

The decision was unanimous.  The defense was led by Jenks & Harvey LLP partners Debra A. Jenks and Robert J. Harvey. The former general counsel was alleged to have breached his fiduciary duties during the period in which he was employed as counsel for the Claimant. Read more…

JANUARY 2015

$1,500,000 Recovery In A FINRA Arbitration-Settlement

$1,500,000 recovered for clients whose accounts had been excessively traded and churned resulting in substantial losses in their accounts.

APRIL 2, 2012

Respondents Defeat $6,000,000 Investor Claim In San Juan, Puerto Rico

A FINRA arbitration panel in San Juan, Puerto Rico denied in their entirety multiple investor claims in excess of $6,000,000 in favor of a broker-dealer and financial advisor. The rejected claims involve alleged violations of SEC Rule 10b-5 and the securities laws of Puerto Rico. (FINRA Case ID 10-01444) Luis Ortiz Espinosa, et al v. BBVA Securities of Puerto Rico, Inc., and Rafael Rodriguez-Abella. 

The decision was unanimous and the defense was led by Debra A. Jenks and Robert J. Harvey. Read more…

JULY 29, 2003

Investors Recover Over $5,400,000 In Damages In Boca Raton, Florida

A FINRA arbitration panel awarded over $5,400,000 in  damages, plus interest and attorney’s fees, to a couple for violations of the Florida Securities and Investors Protection Act, The causes of action relate to the purchase and sale of various stocks, annuities and bonds. (FINRA Case ID 02-00158).