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2022-03-12: Broker/Dealer Remote Office Supervision – South Florida FINRA Arbitration and Regulatory Attorney
2022-03-12: Alan Scot Feigenbaum – Unauthorized Trading FINRA Arbitration Attorney
2022-03-12: Daniel Della Rosa Barred by FINRA – FINRA Arbitration and Litigation Attorney
2022-02-27: FAQ – Liquidation of Investment Funds – South Florida FINRA Arbitration and Commercial Litigation Attorney
2022-02-26: Negligent Misrepresentations and Omissions of Material Facts – South Florida FINRA Arbitration and Litigation Attorney
2022-02-26: Broker/Dealer Requirements Relating to a Contingency or Best Efforts Offering – South Florida Securities Arbitration and Litigation Attorney
2022-02-26: Contingency or Best Efforts Offering – South Florida FINRA Arbitration and Litigation Attorney
2020-09-30: Precious Metals – Good, Bad or Indifferent – South Florida Precious Metals Litigation and Arbitration Attorney
2020-08-26: Seniors are at risk for scams when banking online
2020-08-24: Understanding your stockbroker’s fiduciary duty
2020-08-20: Gold prices have gone up—but so have gold scams
2020-08-19: Insider trading has a negative impact on all investors
2020-08-18: Common sales pitches in precious metal fraud
2020-08-18: Look out for signs of churning
2020-05-24: Final Judgment Entered Against William C. Conway, Jr. and Steve Schrag in the Total Amount of $771,350 for Fraud and Deceit.
2020-01-27: Reading and Understanding Your Margin Agreement – South and Central Florida FINRA Arbitration Attorney
2020-01-26: FAQ Relating to Margin – South and Central Florida FINRA Arbitration Attorney
2020-01-05: FAQ: Do Florida Courts Have Jurisdiction Over A Non-Resident Who Is Alleged to Be Involved In A Conspiracy Against A Florida Resident? South and Central Florida Commercial Litigation Attorney
2020-01-05: If You Are a Florida Resident and You Want to Bring a Claim Against a Non-Resident, What Acts Would Subject the Non-Resident to the Jurisdiction of the Florida Court System? South and Central Florida Commercial Litigation Attorney
2020-01-04: The Florida Uniform Fraudulent Transfer Act – How Can the Act Help You in Collecting on Your Judgment – South Florida and Central Florida Judgment Collection Attorney
2020-01-04: Can a Florida Court Obtain Jurisdiction Over a Non-Florida Limited Liability Company to Enforce a Charging Lien Against a Florida Resident’s Membership Interest? South Florida Commercial Litigation and Collection Attorney
2020-01-04: How Does A Judgment Creditor Execute (Collect) Against An Individual’s Membership Interest In A Florida Limited Liability Company – South Florida Commercial Litigation And Collection Attorney
2020-01-03: Final Judgment Entered Against Christophe Brayer, Oliver Chauve, Euro Global Distribution, LLC and International Distribution Group, LLC.
2019-12-13: FAQ’s Joint Venture Agreements in Florida – Breach of Joint Venture Agreements
2019-12-13: FAQ’s Civil Conspiracy in Florida – South and Central Florida Litigation and Arbitration Attorney
2019-11-20: SEC Halts Ponzi Scheme Targeting Seniors and Small Business Owners – Neil Burkholz and Frank Bianco.
2019-11-17: Fraudulent and Misleading Legal Opinion Letters – South Florida Fraud and Misrepresentation Litigation and Arbitration Attorney
2019-11-17: Investment Advisor – Fraud and Breach of Fiduciary Duties.
2019-11-10: Express Warranty Under the Florida Uniform Commercial Code – West Palm Beach Litigation and Arbitration Attorney
2019-11-10: Pure Bills of Discovery – FAQ’s – South Florida Civil Litigation Attorney
2019-11-02: Phony Certificates of Deposit(s) – South Florida Banking and Fraud Litigation and Arbitration Attorney
2019-10-31: Justifiable Reliance – Orange County Florida Commercial Litigation and Arbitration Attorney
2019-10-31: Fraud in the Inducement – South Florida Commercial Litigation and Arbitration Attorney
2018-09-03: Cold Calls for Oil and Gas Ventures – Unregistered Sales Agents – Boca Raton, Florida Litigation and Arbitration Attorney
2018-09-03: 1 Global Capital, LLC and Carl Ruderman – Fraud in the Sale of Unregistered Securities – South Florida Securities and Commercial Litigation Attorney
2018-09-03: Scott Stacy Phelps and James Michael Harper – Oil and Gas Fraud and Misrepresentation – South Florida Oil and Gas Litigation and Arbitration Attorney
2018-09-03: EFG Capital International Corp. – Failure to Supervise – South Florida FINRA Arbitration Attorney
2018-09-03: Harold Connell – Private Placement Memorandums – Undisclosed Self-Dealing – Unregistered Regulation D Offerings – Boca Raton, Florida FINRA Arbitration Attorney
2018-08-23: FAQ – How Are Microcap Stocks Different From Other Stocks – South Florida Litigation and Arbitration Attorney
2018-08-23: FAQ – Where Do Microcap Stocks Trade – South Florida State and Federal Court Litigation Attorney
2018-08-23: FAQ – What is a Microcap Stock – South Florida Federal and State Court Litigation and Arbitration Attorney
2018-08-23: FAQ Securities, Precious Metals and Commodities Boil Rooms – Boca Raton, Florida Litigation Attorney
2018-08-23: Boca Raton, Florida Based Securities Fraud – Sanomedics, Inc. – Florida Federal and State Court Litigation Attorney
2018-08-23: Microcap “Blank Check” Fraud – South Florida Fraud, Misrepresentation and Commercial Litigation Attorney
2018-08-18: The Promissory Note Scheme – South Florida High Yield Promissory Note Scheme Arbitration and Litigation Attorney
2018-08-18: John C. Maccoll – High Pressure Sales Primarily Directed at Elder and Retired Clients – South Florida FINRA Arbitration Attorney
2018-08-18: Unlawful Sale of Unregistered Interest in Oil and Gas Investments – South Florida Federal and State Court Litigation Attorney
2018-08-18: Alexander Charles White and Paul Douglas Vandivier – Unregistered Brokers Selling Unregistered Oil and Gas Investments – South Florida Fraud and Misrepresentation Attorney
2018-08-12: Kelly Marvin Barnett – Unauthorized Discretion, Unit Investment Trusts – Boca Raton, Florida FINRA Abribration Attorney
2018-08-12: Peter David Holler – Selling Away – Promissory Notes – South Florida FINRA Arbitration Attorney
2018-08-12: Brian John Hussey, Jr. – Unsuitable Trade Recommendations and Unauthorized Discretion
2018-08-11: Direct or Derivative Claim- South Florida Commerical State and Federal Court Litigation Attorney
2018-08-11: Frequently Asked Questions About Exempt Securities Offerings
2018-08-08: Capitol Securities Management, Inc. – Suitability of Short Term Trading of Unit Investment Trusts
2018-08-08: Integrated Trading and Investments, Inc. – Failure to Properly Maintain and Supervise Email Communications
2018-08-08: Cambridge Investment Research, Inc. – Leveraged, Inverse and Inverse-Leveraged ETFs
2017-06-20: Legend Equities Corporation – Mutual Fund Abuse FINRA Arbitration Attorney
2017-06-18: Mid Atlantic Capital Corporation – Private Securities Transactions – West Palm Beach, Florida FINRA Arbitration Attorney
2017-06-18: Garden State Securities, Inc. – Traditional and Non-Traditional ETFs Suitability Issues
2017-06-18: FSC Securities – Boca Raton, Florida Selling Away, Fraud and Misrepresentation FINRA Arbitration Attorney
2017-05-15: Carl Keith Battie – South Florida Real Estate Fraud Litigation and Arbitration Attorney
2017-05-14: Douglas Roe and Donald Lindo –
2017-05-14: Mohamud Abdi Ahmed and 2waytrading, LLC. – South Florida Unregistered Investment Adviser Fraud and Misrepresentation Attorney
2017-03-14: Avalon FA Ltd. – South Florida Stock Fraud and Misrepresentation Litigation Attorney
2016-12-16: Stifel, Nicolaus & Co., Inc. and David Noack – South Florida Unsuitable Investment and Breach of Fiduciary Duty Litigation and Arbitration Attorney
2016-12-16: Richard G. Cody – Boca Raton, Florida Elder Financial Abuse and Breach of Fiduciary Duty Litigation and Arbitration Attorney
2016-12-05: Rafael Antonio Calleja, Jr. – South Florida Sale of Unregistered Securities Attorney
2016-06-01: Trading Program Fraud – South Florida Trading Program Fraud and Misrepresentation Litigation Attorney
2016-06-01: Pre-IPO Stock Fraud – Boca Raton, Florida Penny Stock Fraud Litigation and Arbitration Attorney
2016-05-19: Professional Athletes Beware Of Placing Too Much Trust In Your Financial Advisors – South Florida Financial Advisor Litigation and Arbitration Attorney
2016-05-19: Common Stock Buyers Beware – Boca Raton, Florida Securities Litigation and Arbitration Attorney
2016-05-19: Ross McLellan – South Florida Unauthorized and Fraudulent Mark-Up FINRA Arbitration and Litigation Attorney
2016-04-25: Boca Raton Florida Penny Stock Fraud and Misrepresentation Litigation and Arbitration Attorney
2016-04-04: Nathanial Ponn – South Florida Common and Preferred Stock Fraud and Misrepresentation Litigation and Arbitration Attorney
2016-04-04: Joseph Andrew Paul, John Ellis, James Quay and Donald Ellison – Boca Raton, Florida Senior and Retirement Investment Fraud Attorney
2016-03-26: Global Arena Capital Corp – South Florida Municipial and Corporate Bond Mark-Up and Mark-Down Abuse FINRA Arbitration Attorney
2016-03-24: Gregory Jones – South Florida Fraudulent Offering Documents Litigation and Arbitration Attorney
2016-03-24: Guy Gentile – Boca Raton, Florida Common Penny Stock Fraud Litigation and Arbitration Attorney
2016-03-24: Arcturus Corporation, et. al. – Boca Raton Fraudulent Oil and Gas Investment Litigation and Arbitration Attorney
2016-02-13: Gregory Ruehle – Boca Raton, Florida Unregistered Broker and Securities Fraud Attorney
2015-12-14: Exchange Traded Notes (ETNs) – Boca Raton, Florida FINRA Arbitration and Federal and State Court Litigation Attorney
2015-12-14: Rex Venture Group, LLC d/b/a ZeekRewards.com – Boca Raton, Florida Unregistered Offer and Sale of Securities Litigation Attorney
2015-12-12: Mismarked Option Orders and Execution Priority – South Florida Option Abuse Litigation and Arbitration Attorney
2015-12-12: Certified Public Accountant (CPA) Negligence, Deficient and False Audit South Florida Litigation and Arbitration Attorney
2015-12-12: Jehu Hand and Antonio Katz – South Florida Unlawful Sale of Restricted Securities Litigation Attorney
2015-12-12: Anthony Guerriero and Oxford City Football Club, Inc. – Boca Raton, Florida Micro-Cap Penny Stock Fraud Litigation Attorney
2015-12-01: Bitcoin Ponzi Scheme – South Florida Securities Fraud and Misrepresentation State and Federal Court Litigation Attorney
2015-12-01: James Torchia, Credit Nation Capital, LLC, Credit Nation Acceptance, LLC et. al. – Boca Raton, Florida Unregistered Promissory Note and Life Settlement Contract Securities Fraud State and Federal Litigation Attorney
2015-12-01: Final Judgment for $258,508.52 Entered Against James Burbage, Marni Burbage, Frank Gaudino and Sean Stropp
2015-11-29: Bank Claims – Breach of Fiduciary Duty and Breach of Contract Commercial Litigation Attorney
2015-11-28: James D. Belenis – Unapproved Private Securities and Outside Business Activity – Boca Raton, Florida FINRA Arbitration and Litigation Attorney
2015-11-28: Unlawful Reimbursement of Customer Losses – Boca Raton, Florida FINRA Arbitration and Litigation Attorney
2015-11-27: FAQs Margin – Boca Raton, Florida Margin Abuse and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2015-11-27: T + 3 – Settlement of Security Transactions – Boca Raton, Florida Securities Litigation and Arbitration Attorney
2015-11-26: FAQs Regulation SHO – Boca Raton, Florida Securities Litigation and Arbitration Attorney
2015-11-26: FAQs Short Selling – South Florida Securities Litigation and Arbitration Attorney
2015-11-21: Retirement Planning Fraud – South Florida Retirement Financial Fraud Attorney
2015-11-21: Shane Whittle – Boca Raton, Florida Fraudulent Promotion and Micro-Cap Stock Litigation Attorney
2015-11-21: EB5 Asset Manager, LLC. – South Florida Private Placement Fraud Litigation and Arbitration Attorney
2015-11-21: Christopher Brogdon – Municipal Bond and Private Placement Offering Fraud
2015-11-20: Final Judgment for $49,285.42 Entered Against Larry Morris and Win – Win Seminars, Inc.
2015-11-12: Final Summary Judgment For $26,052 Entered Against Percival Phillips
2015-11-12: Amended Final Judgment For $159,556.24 Entered Against Allan Niskar, Tim Cavender, Richard Onorato, Christina Onorato and Greenwich Financial, Inc.
2015-11-11: Final Judgment for $270,025.00 Entered Against Mitchell (Mitch) Pasin by United States Bankruptcy Court
2015-10-11: Jose G. Ramirez Jr. – Boca Raton, Florida Closed-End Mutual Fund Breach of Fiduciary Duty and Unsuitability FINRA Arbitration and Litigation Attorney
2015-10-11: Michael J. Moore – Boca Raton, Florida SEC Defense Attorney
2015-10-11: William J. Wells and Promitor Capital Management LLC. – Boca Raton, Florida Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney
2015-10-11: Steve Chen and USFIA Inc. – Fort Lauderdale, Florida Securities and Investment Fraud Litigation and Arbitration Attorney
2015-10-10: Boca Raton, Florida Boiler Room Fraud and Misrepresentation Litigation Attorney
2015-10-10: Briargate Trading LLP and Eric Oscher – Boca Raton, Florida Securities and Investment Fraud Litigation and Arbitration Attorney
2015-10-10: Delaney Equity Group, LLC. – South Florida SEC Subpoena Enforcement Defense Attorney
2015-10-06: Pyramid Scheme Fraud – South Florida Pyramid Scheme and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2015-10-06: Innovative Business Solutions, LLC. and Arthur Jacob – Boca Raton, Florida Investment Adviser Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2015-09-27: Securities and Investment Advisor Fraud – South Florida Securities Fraud and Mismanagement Litigation Attorney
2015-09-27: iShopNoMarkup.com, Inc. – South Florida Fraudulent Unregistered Offering of Securities FINRA Arbitration and Litigation Attorney
2015-09-09: Manny Shulman and David K. Hirschman – Boca Raton, Florida Unregistered Securities Fraud and Misrepresentation Attorney
2015-08-25: Market Volatility – Margin Accounts – Margin Calls, Margin Abuse and Account Deficits Especially Relating to Option Transactions – Boca Raton, Florida Margin Deficit FINRA Arbitration Attorney
2015-08-24: Exchange-Traded Notes (ETN), Leveraged and Inverseleveraged ETFs – Unsuitable Investment Recommendations, FINRA Arbitration Attorney
2015-08-23: Ronald Seth Cohen – Unapproved Outside Business Activity Fort Lauderdale, Florida FINRA Arbitration Attorney
2015-08-23: John Cherry III – Conversion of Client Funds, Fraud and Misrepresentation Boca Raton, Florida FINRA Arbitration Attorney
2015-08-23: Mark Andrew Bullivant – Conversion of Client Funds, Boca Raton, Florida FINRA Arbitration Attorney
2015-08-23: Leveraged – Inverse Mutual Funds – Risk vs. Rewards – Boca Raton, Florida FINRA Arbitration Attorney
2015-08-23: Garyn Ian Angel – Boca Raton, Florida FINRA Prohibited Private Securities Transaction
2015-08-23: Tribal Capital Markets, LLC. a/k/a Blue Capital Securities, Inc. – CMO Risk Disclosure – Boca Raton, Florida FINRA Arbitration Attorney
2015-08-23: Boca Raton, Florida – Elder Financial Abuse FINRA Arbitration and Litigation Attorney
2015-08-23: Unauthorized Trading and Unauthorized Discretion Boca Raton, Florida, FINRA Arbitration Attorney
2015-08-23: South Florida Selling Away FINRA Arbitration and Securities Litigation Attorney
2015-08-23: Unauthorized and/or Prohibited Loan Activity Between Client and Brokerage Firm Account Executive – Boca Raton, Florida FINRA Arbitration Attorney
2015-08-23: WFG Investments, Inc. – Fort Lauderdale, Florida Unsuitable, Unauthorized Discretion and Outside Business Activity FINRA Arbitration Attorney
2015-08-23: Popular Securities, Inc. n/k/a Popular Securities, LLC – Boca Raton, Florida Puerto Rico Bond and Closed-End-Fund Over Concentration and Unsuitability FINRA Arbitration Attorney
2015-08-23: Oriental Financial Services Corp. – South Florida Unsuitable Puerto Rico Bond Investment FINRA Arbitration Attorney
2015-08-23: Newbridge Securities Corporation – Boca Raton, Florida Corporate and Municipal Bond Abuse FINRA Arbitration Attorney
2015-08-22: Citigroup Global Markets Inc. – South Florida Broker/Dealer and Account Executive Breach of Fiduciary Duty FINRA Arbitration Attorney
2015-08-22: Ameriprise Financial Services, Inc. and David Bradley Tysk – Boca Raton, Florida Stock Broker Fraud and Breach of Fiduciary Duty Attorney
2015-08-18: Edward Jones to Pay 20 Million for Overcharging Retail Customers in Municipal Bond Underwritings – Boca Raton, Florida FINRA Arbitration Attorney
2015-08-18: Russell Haraburda and EnviraTrends, Inc. – South Florida Unregistered Securities Offering Litigation Attorney
2015-08-17: ASTA/MAT Fund and the Falcon Fund – South Florida Securities and Investment Fraud and Mismanagement Attorney
2015-07-03: Stockbroker and Account Executive Misconduct – Boca Raton, Florida Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2015-07-03: Pyramid/Ponzi Scheme – South Florida Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-06-29: Mark Welhouse and Welhouse & Associates, Inc. – South Florida Improper Trade Allocation and Cherry-Picking FINRA Arbitration and Litigation Attorney
2015-06-13: Gregory G. Jones and Aquaphex Total Water Solutions – South Florida Oil and Gas Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-06-13: Joshua A. Yudell, Oxford Advisors, Inc., Oxford Capital Advisors, LLC. – Boca Raton, Florida Investment Fraud and Breach of Contract Agreement Litigation and Arbitration Attorney
2015-06-09: Retirement and Senior Financial Abuse Litigation and Arbitration Attorney
2015-06-09: Senior and Retirement Financial Exploitation and Financial Fraud Attorney
2015-05-30: Pangaea Trading Partners, LLC., Arjent LLC., Arjent Limited, Excalibur Asset Management, LLC – South Florida Brokerage Firm Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-05-27: Adam S. Gottbetter – South Florida Securities, Investment and Commercial Litigation Attorney
2015-05-25: North Dakota Developments, LLC., Robert L. Gavin and Daniel J. Hogan – South Florida Securities and Investment Fraud and Commercial Litigation Attorney
2015-05-20: Argent, LLC and Arjent Limited – Brokerage Firm Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2015-05-19: Sethi Petroleum, LLC and Sameer Praveen Sethi – Fraudulent Oil and Gas Scheme – South Florida Commercial Litigation Attorney
2015-05-03: Annuity Basics – South Florida Annuity Fraud, Misrepresentation and Twisting Litigation and Arbitration Attorney
2015-05-02: Public Company Going Private – South Florida Securities and Investment Attorney
2015-05-02: Defunct Companies (“Microcap”) – Pump and Dump Scheme – Florida Securities Investment Fraud Attorney
2015-04-24: Veros Partners, Inc., Jeffrey B. Risinger and Tobin J. Senefeld – Boca Raton, Florida Investment Adviser and Private Offering Fraud and Misrepresentation Attorney
2015-04-14: False Investment Scheme Targeting Military Personnel – South Florida Retirement and Elder Financial Abuse Litigation and Arbitration Attorney
2015-04-10: South Florida Oil and Gas Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-04-10: Professional Athletes – South Florida Investment Fraud Litigation and Arbitration Attorney
2015-04-10: South Florida Life Settlement Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-04-10: South Florida Broker-Dealer and Investment Advisory Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-04-09: Dean Esposito, Joseph DeVito, Frederick Birks and Joseph Azzata – Boca Raton, Florida Microcap Investment Fraud Litigation and Arbitration Attorney
2015-04-03: Security and Investment Analyst – South Florida Security and Investment Fraud and Mismanagement Litigation Attorney
2015-03-30: Concealing Poor Performance of Fund Assets – South Florida Securities and Investment Mismanagement Attorney
2015-03-30: Underwriter Due Diligence – Fact or Fiction – Boca Raton, Florida Fraudulent Underwriting Attorney
2015-03-25: Risks Associated With Option Trading – Boca Raton, Florida Investment Abuse FINRA Arbitration and Litigation Attorney
2015-03-25: Boca Raton and West Palm Beach, Florida Option Trading Abuse FINRA Arbitration and Litigation Attorney
2015-03-22: Boca Raton, Florida Business and Construction Dispute Litigation and Arbitration Attorney
2015-03-18: Retirement Plan Fiduciary Issues for Employers – Fort Lauderdale, Boca Raton, and West Palm Beach, Florida Breach of Fiduciary Duty Litigation Attorney
2015-03-17: Advertising Unregistered Securities Offerings – Boca Raton, Florida Fraud and Misrepresentation in the Advertising of Unregistered Securities Offerings
2015-03-15: Liability of Retirement Plan Fiduciaries – South Florida Retirement Plan Attorney
2015-03-15: Significance of Being a Retirement Plan Fiduciary – South Florida Retirement Plan Attorney
2015-03-15: Ameriprise Financial Services, Inc. and David Bradley Tysk – Boca Raton, Florida FINRA Investment Suitability and Breach of Fiduciary Duty Arbitration and Litigation Attorney
2015-03-14: Brookville Capital Partners, LLC. and Anthony Lodati – Boca Raton, Florida Private Placement and Regulation D Fraud and Misrepresentation Attorney
2015-03-14: Third Party Administrator 401k Plan Fraud and Misrepresentation South Florida Litigation Attorney
2015-03-13: David Craven and Alex Craven – American Energy Development Corp. – Microcap Security and Investment Fraud and Misrepresentaiton Litigation Attorney
2015-03-12: H.D. Vest Investment Securities – South Florida Customer Protection and Negligent Supervision FINRA Arbitration and Litigation Attorney
2015-03-02: Boca Raton, Florida Corporate and Shareholder Business and Commercial Dispute Litigation and Arbitration Attorney
2015-02-22: Various Types of Investment Risk – South Florida Corporate and Business Attorney
2015-02-22: FAQ’s Preferred Stocks – Boca Raton, Florida Corporate and Business Attorney
2015-02-22: Oil and Gas Private Offerings – Risks – What Could Possibly Go Wrong?
2015-02-12: Sale of Unregistered Securities – Boca Raton, Florida Investment and Securities Litigation and Arbitration Attorney
2015-02-08: Boca Raton, Florida Senior, Retirement and Elder Financial Abuse and Financial Exploitation Attorney
2015-02-08: Typical Precious Metals Telemarketing Sales Script – Boca Raton, Florida Investment Fraud and Securities Misrepresentation Attorney
2015-01-27: South Florida Investment Fraud and Misrepresentation Litigation and Arbitration Attorney
2015-01-22: Frederic Elm and Elm Tree Investment Advisors – Boca Raton, Florida Securities and Investment Fund Fraud and Misrepresentation Attorney
2015-01-01: Shawn Peter Bishop – Stockbroker and Account Executive Theft Fort Lauderdale, Florida FINRA Arbitration Attorney
2015-01-01: Ricky Eugene Bell – Boca Raton, Florida Unapproved Private Security and Unauthorized Loan Transaction FINRA Arbitration Attorney
2015-01-01: Matthew King Absher – Boca Raton, Florida Unapproved Outside Business Activity FINRA Arbitration Attorney
2014-12-30: Boca Raton and South Florida Oil and Gas Investment Fraud and Misrepresentation Litigation Attorney
2014-12-28: Broker – Dealers – Boca Raton, Florida Investment Attorney
2014-12-28: Efstratios D. Argyropoulos and Prima Capital Group, Inc. – Boca Raton, Florida Stock Promoter Fraud and Misrepresentation Attorney
2014-12-28: Private Placement – Private Offering – Boca Raton, Florida Investment Fraud and Misrepresentation Attorney
2014-12-28: Are You an Accredited Investor – Private Investment Boca Raton, Florida Fraud, Misrepresentation and Mismanagement Litigation Attorney
2014-12-15: Oil and Gas Offering Fraud – Fraudulent Stock Manipulation – False and Misleading Press Releases
2014-12-10: Boca Raton, Florida Investment and Securities Fraud Litigation and Arbitration Attorney
2014-12-02: Fraudulent News Letters Used In Pump-and-Dump Schemes – Boca Raton, Florida Investment and Penny Stock Litigation Attorney
2014-11-29: Rebalancing Your Asset Allocation Model – Boca Raton, Florida Investment Mismanagement Attorney
2014-11-29: Asset Allocation – Diversification – Boca Raton, Florida Stock, Bond and Mutual Fund Mismanagement Attorney
2014-11-29: Asset Allocation – Why It Is So Important – South Florida Investment Attorney
2014-11-28: Boca Raton, Florida Preferred Stock and Limited Partnership Fraud and Misrepresentation Attorney
2014-11-27: 10 Ways for Seniors to Protect Themselves From Fraud – South Florida Senior and Retirement Financial Abuse and Exploitation Attorney
2014-11-27: Refund and Recovery Scams – Boca Raton, Florida Fraud and Misrepresentation Attorney
2014-11-24: False and Misleading Press Releases and Marketing Material – Boca Raton, Florida FINRA Arbitration and Litigation Attorney
2014-11-19: Investment Scams – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney:
2014-11-19: Fraudulent Day Trading Scheme – Boca Raton, Florida Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-11-14: SEC Charges Business Owner and Stockbroker in Real Estate Offering Fraud
2014-10-23: Valuations of Unlisted Real Estate Investment Trusts and Direct Participation Programs – Boca Raton, Florida REIT and DPP FINRA Arbitration and Litigation Attorney
2014-10-19: Boca Raton, Florida Misappropriation and Theft Litigation and Arbitration Attorney
2014-10-19: Anthony Coronati and Bidtoask LLC. – Boca Raton, Florida Investment and Advertising
2014-10-05: Bradley Thomas Badger – Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney
2014-10-05: Luciano Andres Battioli – Boca Raton, Florida Account Executive Conversion and Theft FINRA Arbitration and Litigation Attorney
2014-10-05: Wealth Strategy Partners, LC, Harvey Altholtz, Stevens Resource Group, LLC and George Stevens – Boca Raton, Florida Investment Fund and Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney
2014-10-05: Oscar F. Villarreal – Boca Raton, Florida Investment and Investment Advisor Fraud Litigation and Arbitration Attorney
2014-10-05: Patrick G. Rooney, John R. Rooney and Positron Corporation – Boca Raton, Florida Market Manipulation and Investment Fraud Litigation and Arbitration Attorney
2014-10-04: Mutual Fund – Boca Raton, Florida Mutual Fund Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-09-27: Scam Websites (Affinity Fraud) – Buyer Beware – South Florida Investment and Securities Fraud Litigation and Arbitration Attorney
2014-09-27: Annuity and Insurance Fraud and Misrepresentation – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Litigation and Arbitration Attorney
2014-09-18: Microcap and Penny Stock Market Manipulation and Fraud – Boca Raton, Florida Federal and State Court Litigation Attorney
2014-09-15: South Florida Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
2014-09-15: Boiler Room and Securities Fraud and Misrepresentation – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Litigation and Arbitration Attorney
2014-09-12: Accounting Malpractice and Negligence – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Litigation Attorney
2014-09-02: Investment Advisory Conflict of Interest – West Palm Beach, Florida Investment Advisor Conflict of Interest Attorney
2014-08-24: Accounting Fraud and Misrepresentation – South Florida Accounting Fraud, Misrepresentation and Negligence Litigation Attorney
2014-08-16: Chimera Energy – IPO, Penny Stock and Microcap Fraud and Misrepresentation South Florida FINRA Arbitration and Litigation Attorney
2014-08-12: Securities, Including Stocks and Bonds Custodian Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-08-12: Microcap and Penny Stock South Florida Litigation and Arbitration Attorney
2014-08-04: John Thornes – South Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-08-03: CP Capital Securities, Inc. – Hollywood, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation Attorney
2014-08-03: Capital Path Securities, LLC and William John Davis – South Florida AML Red Flag FINRA Enforcement Defense Attorney
2014-08-02: Robert G. Bard – South Florida Securities and Bank Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-08-02: Kenneth Gross – Sale of Unregistered Stock – South Florida Investment and Securities Fraud Litigation and Arbitration Attorney
2014-08-01: Registration of Dealers, Associated Persons and Investment Advisers in Florida – South Florida Securities Attorney
2014-08-01: Do CFPs Have to Register as an Investment Adviser in Florida – Delary, Deerfield Beach, Boca Raton and Boynton Beach, Florida FINRA Arbitration, Litigation and Elder Abuse Attorney
2014-08-01: Florida’s Requlation D and Rule 506 Offering Requirements – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-07-26: Elder and Retirement Financial Abuse – How To Spot Investment Fraud – South Florida FINRA Arbitration and Litigation Attorney
2014-07-25: Franklin Speight and International Stock Transfer Inc. – South Palm Beach County, Florida Securities Fraud Litigation and Arbitration Attorney
2014-07-19: Christopher Plummer, Lex Cowsert and CytoGenix, Inc. – Microcap and Penny Stock Fraud and Misrepresentation Litigation and Arbitration Attorney
2014-07-16: Microcap and Penny Stock Fraud – South Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-07-16: Bernard H. Butts Jr. – South Florida Prime Bank Investment and Program Trading Scheme Litigation, FINRA Arbitration and Elder Abuse Attorney
2014-07-15: South Florida – Certified Public Accountant Independence and Negligence Litigation and Arbitration Attorney
2014-07-05: FAQ’s Relating to a Brokerage Account Transfer – Boca Raton, Florida Broker/Dealer FINRA Arbitration and Litigation Attorney
2014-06-29: Gilford Securities Incorporated – South Florida False or Negligently Prepared Research Reports FINRA Arbitration and Litigation Attorney
2014-06-27: Regions Bank, Thomas Neely, Jr., Jeffrey Kuehr, Michael Willoughby – South Florida Accounting Fraud and Negligence Litigation and Arbitration Attorney
2014-06-27: Dawson James Securities, Inc. – Boca Raton, Florida Broker/Dealer Sales Practice Violations FINRA Arbitration and Litigation Attorney
2014-06-27: Boca Raton, Florida Advance Fee High-Yield Investment Scam Litigation and FINRA Arbitration Litigation Attorney
2014-06-25: Weston Capital Asset Management and Albert Hallac – South Florida Hedge Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2014-06-25: Carolina Financial Securities, LLC – South Florida Private Placement Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2014-06-25: World Trade Financial Corporation – Fort Lauderdale, Florida Section 5 and Unregistered Sale of Securities FINRA Arbitration and Litigation Attorney
2014-06-25: HLM Securities and Terrance Hennessy – Boca Raton, Florida Unapproved Outside Business Activity and Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-06-12: Your Best Memories and Robert Hurd – South Florida Ponzi Scheme and Securities Fraud FINRA Arbitration and Litigation Attorney
2014-06-11: Investment Newsletters – South Florida Investment Newsletter Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2014-06-11: FAQs Equity Indexed Annuities – Boca Raton, Florida Annuity Twisting and Fraud FINRA Arbitration and Litigation Attorney
2014-06-08: Deferred Annuity FAQ’s For The Agent Or Company – Boca Raton, Fort Lauderdale and West Palm Beach Annuity Fraud and Abuse FINRA Arbitration and Litigation Attorney
2014-05-29: Richard Olive, Susan Olive and We The People, Inc. – Fort Lauderdale and Boca Raton, Florida Charitable Fraud Litigation and Arbitration Attorney
2014-05-29: Neal V. Goyal – Boca Raton, Florida Investment Fund Manager Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2014-05-23: FAQs Annuity – South Florida Elder, Senior and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney
2014-05-22: Micricap and Penny Stock Fraud and Misrepresentation – South Florida FINRA Arbitration and Litigation Attorney
2014-05-21: Gaeton S. Della Penna – South Florida Private Placement and Private Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-05-02: Allen Ross Smith – Prime Bank Scheme and Unregistered Sales of Securities – Fort Lauderdale Securities and Investment Fraud and Misrepresentation Attorney
2014-05-01: James Erwin and Joint Venture Solutions, Inc. – Boca Raton, Florida Unregistered Sales of Securities FINRA Arbitration and Litigation Attorney
2014-04-30: Boca Raton, Florida Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-04-30: Fort Lauderdale, Boca Raton, Deerfield Beach and Pompano Beach, Florida Oil and Gas Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-04-30: Boca Raton, Delray Beach and Lake Worth, Florida Debenture Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-04-24: Persaud – Boca Raton, Florida Ponzi Scheme Litigation and FINRA Arbitration Attorney
2014-04-24: Stop Orders – Boca Raton, Florida Unregistered Sales of Securities Fraud and Misrepresentation Attorney
2014-04-24: Robert J. Vitale and Realty Acquisitions & Trust, Inc. – Florida Real Estate Investment Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney
2014-04-20: 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
2014-04-20: 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
2014-04-20: Limit Order – South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Negligence, Breach of Contract, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-04-20: Market Order – South Florida Broker/Dealer, Investment Advisor and Account Executive Mismanagement, Breach of Fiduciary Duty, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-04-16: Robert C. Rice – South Florida Fraudulent Trading Program and Prime Bank Guarantee Litigation and Arbitration Attorney
2014-04-16: Timothy J. Coughlin, Oxford International Credit Union and Oxford International Cooperative Union – South Florida Internet Ponzi Scheme and Securities Fraud and Misrepresentation Litigation and Arbitration Attorney
2014-04-16: Direct Access Partners, Benito Chinea and Joseph DeMeneses – Florida Broker/Dealer and Investment Advisor Securities Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2014-04-16: Total Wealth Management and Jacob Cooper – South Florida Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-04-09: Keiko Kawamura – South Florida Social Media Fraud and Misrepresentation of Credentials and Trading Experience FINRA Arbitration and Litigation Attorney
2014-04-09: Joseph Signore and Paul Schumack II – Florida Ponzi Scheme and Investment Contract Securities Fraud and Misrepresentation Litigation and Arbitration Attorney
2014-04-01: Pyramid Scheme, Ponzi Scheme and Affinity Fraud – South Florida Securities and Elder Abuse and Exploitation Litigation and FINRA Arbitration Attorney
2014-03-31: Jason Halek, Joshua Spivey, Patrick Booths and Steven Little – South Florida Oil and Gas Fraud and Sale of Unregistered Securities Litigaiton and Arbitration Attorney
2014-03-30: Daniel Kim – South Florida Broker/Dealer and Investment Advisor Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney
2014-03-30: Hugh Robert Hunsinger, Jr. – South Florida Broker/Dealer and Account Executive Elder Financial Abuse and Exploitation, Theft, Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-03-30: Harry Shaw Hammond – South Florida Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney
2014-03-30: Keith Andrew Halsnik – Florida Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-03-29: Alejandra Gandara – Florida Unapproved Outside Business Activity and Account Executive Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-03-29: Randall Lee Freeze – South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Forgery FINRA Arbitration and Litigation Attorney
2014-03-21: Corporate and High Yield Bonds – South Florida Corporate and High Yield Bond Breach of Fiduciary Duty and Unsuitability FINRA Arbitration and Litigation Attorney
2014-03-21: Exchange Traded Funds (ETFs) – Florida Elder, Senior and Retirement Financial Abuse and Exploitation Unsuitability, Excessive Trading (Churning), Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration, Litigation and Probate Attorney
2014-03-13: Michael A. Horowitz, Moshe Marc Cohen – South Florida Variable Annuity and Elder, Senior and Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
2014-03-05: Lunick Jean Dorleus – Florida Securities Investment Club and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney
2014-03-05: Michael Andrew DeRosa – Florida Unregistered and Selling Away Promissory Note FINRA Arbitration and Litigation Attorney
2014-02-28: Donald Richard Dahn – Florida Financial Abuse, Misappropriation and Unauthorized Loan FINRA Arbitration and Litigation Attorney
2014-02-28: Timothy John Coyle – South Florida Forgery and Unauthorized Activity FINRA Arbitration and Litigation Attorney
2014-02-28: South Florida Oil and Gas Suitability, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2014-02-26: Jeremy Fisher – Florida Unregistered Securities and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney
2014-02-26: South Florida Broker/Dealer and/or Account Executive Negligent Supervision, Selling Away and Unapproved Outside Business Activity FINRA Arbitration, Litigation and Probate Estate Attorney
2014-02-26: Irving Marvin Burstein – South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration, Litigation and Probate Attorney
2014-02-25: Samuel Braslau, Rand Chortkoff and Stuart Rawitt – Florida Securities and Investment Fraud Litigation and Arbitration Attorney
2014-02-25: Credit Suisse Group AG – Failure To Register – South Florida Failure To Register FINRA Arbitration and Litigation Attorney
2014-02-16: Promissory Notes – South Florida Promissory Note FINRA Arbitration and Litigation Attorney
2014-02-16: Steven Franklin Bracy – South Florida Account Executive and Brokerage Firm Negligent Supervision FINRA Arbitration and Litigation Attorney
2014-02-14: James Y. Lee – South Florida Investment Advisor and Securities Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney
2014-02-12: Sicor Securities, Inc. and Gregory Lunar Merrick – South Broker/Dealer Negligent Supervision FINRA Arbitration Attorney
2014-02-08: Oil and Gas Limited Partnership and Oil and Gas Offering Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney
2014-02-08: Nonpublic Information – South Florida Securities and Investment Nonpublic Information FINRA Arbitration and Litigation Attorney
2014-02-04: Short Selling – Illegal Short Selling Florida Securities and Investment Fraud Litigation and Arbitration Attorney
2014-02-04: Michael P. Zenger – Florida Misappropriation of Funds Litigation and Arbitration Attorney
2014-01-31: Naked Short Selling Scheme – South Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2014-01-31: Broker/Dealer Fraud, Misrepresentation, Theft and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-01-31: Berton M. Hochfeld and Hochfeld Capital Management, LLC. – South Florida Hedge Fund Mismanagement, Fraud and Breach of Fiduciary Duty Litigation and Arbitration Attorney
2014-01-31: Equity Fund and Equity Manager Fruad and Mismanagement – South Florida Litigation and Arbitration Attorney
2014-01-28: Hedge Fund Fraud and Misrepresentation – South Florida Hedge Fund Fraud, Misrepresentation and Mismanagement Litigation and FINRA Arbitration Attorney
2014-01-28: Elder, Senior and Retirement Abuse and Exploitation – Ponzi Scheme – South Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2014-01-28: Western Asset Management Company – South Florida Securities and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-01-23: Senior, Retirment and Elder Financial Abuse and Exploitation – South Florida Investment and Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney
2014-01-23: Hybrid Elder and Senior Financial Exploitation and Abuse – South Florida Senior, Elder and Retirement Abuse and Exploitation Litigation, FINRA Arbitration and Probate Estate Attorney
2014-01-21: Support Level or Resistance Level – Florida Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-01-07: Promissory Note and Use of Funds Agreements – Florida Securities and Investment Fraud Litigation and Arbitration Attorney
2014-01-06: Asset Management, Cash Management or Active Assets Account – South Florida Broker/Dealer Fraud, Mismanagement or Breach of Fudiciary Duty FINRA Arbitration and Litigation Attorney
2014-01-04: Mutual Fund Switching – South Florida Mutual Fund Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-01-03: FAQ’s Warrants – Florida Securities and Investment Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2014-01-03: FAQ’s Regarding Annuity Types – South Florida Immediate, Deferred, Fixed and Variable Annuity Twisting or Churning FINRA Arbitration and Litigation Attorney
2014-01-01: Face Value of Bonds, Notes and Other Securities – Florida Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-12-25: FAQ’s About Asset Allocation – South Florida Improper and Unsuitable Asset Allocation FINRA Arbitration and Litigation Attorney
2013-12-24: False and Misleading Sales and Promotional Materials – Florida Investment Adviser Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-12-24: Unregistered Offer and Sale of Securities – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney
2013-12-21: Insurance Policy (Contract) Misstatement or Omission – South Florida Insurance and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-12-21: FAQ Regarding Interpretation of Insurance Contracts, Including Annuity Contracts – South Florida Insurance Litigation and Arbitration Attorney
2013-12-20: Trade Execution / Markup and Markdown Fraud and Misrepresentation – South Florida FINRA Arbitration and Litigation Attorney
2013-12-17: Collateralized Debt Obligation (CDO) – South Florida Investment Advisory Firm Fraud, Misrepresentation and Breach of Fiduciary Duty Arbitration and Litigation Attorney
2013-12-17: Accounting Negligence and Fraud – South Florida Accounting Fraud, Misrepresentation, Negligence and Breach of Fiduciary Duty Arbitration and Litigation Attorney
2013-12-16: South Florida Prime Bank and Overseas Debt Instruments Fraud and Misrepresentation Attorney
2013-12-16: Arcturus Corporation and Aschere Energy LLC. – South Florida Oil and Gas Securities Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-12-08: Florida Shareholder Notice and Consent Requirements and Dissenters’ Rights – Broward and Palm Beach County, Florida Corporate and Business Litigation and Arbitration Attorney
2013-12-08: Prohibited Activities of Corporate Officers and Directors – Florida Corporate Misconduct Litigation and Arbitration Attorney
2013-12-07: Accountant’s Liability to Third Parties – Broward and Palm Beach Florida Accounting Negligence Litigation and Arbitration Attorney
2013-12-07: Margin Account – Florida Margin Account Abuse FINRA Arbitration and Litigation Attorney
2013-12-06: Robert A. Helms and Janniece S. Kaelin – Florida Oil and Gas Ponzi Scheme Litigation and Arbitration Attorney
2013-11-25: Financial Elder Abuse – Financial Elder Exploitation – Florida Litigation and FINRA Arbitration Attorney
2013-11-25: Florida Penny (Microcap) Stock and Regulation D Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-11-25: Charles H. Merchant, Sr. and Southern USA Resources, Inc. – Florida Security and Investment Fraud, Misrepresentation and False Filing FINRA Arbitration and Litigation Attorney
2013-11-21: Annuity Fraud and Misrepresentation and Elder Abuse – Florida Annuity and Insurance Fraud FINRA Arbitration and Litigation Attorney
2013-11-21: South Florida Investment Adviser Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-11-18: FAQ’s Margin – Fort Lauderdale, Florida Margin Abuse and Negligence FINRA Arbitration and Litigation Attorney
2013-11-12: General Features of Indexed Annuities – South Florida Indexed Annuity Misrepresentation and Fraud Litigation and FINRA Arbitration Attorney
2013-11-12: FAQ’s About Indexed Annuities – Florida Indexed Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-11-10: FAQ’s Annuities – South Florida Fixed and Variable – Deferred and Immediate Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-11-10: Post-Employment Restrictive Covenants – South Florida Restrictive Covenant Litigation and Arbitration Attorney
2013-11-10: Johan Mary-Lyn Akal – South Florida Insurance Fraud, Regulation, Misrepresentation and Negligence Litigation and Arbitration Attorney
2013-11-10: Boiler Room, Penny Stock (Low Priced) and Ponzi Scheme Litigation and Arbitration Attorney
2013-11-06: 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
2013-11-05: FAQ – Yield – South Florida Bond, Preferred and Common Stock Litigation and FINRA Arbitration Attorney
2013-11-04: Fictitious Offering and Unregisterd Securities – South Florida Fraud and Misrepresentation Federal and State Court Litigation Attorney
2013-11-04: Christopher A.T. Pedras – Florida Trading Platform Fraud, Misrepresentation and Negligence FINRA Arbitration and Litigation Attorney
2013-10-27: Charlotte Bredal Oliver – Florida Variable and Fixed Annuity, Life and Health Insurance Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-10-26: Matthew Watson Shaw Consent Order – South Florida Insurance and Variable Annuity Consumer Advocate Litigation and Arbitration Attorney
2013-10-26: A and D Insurance Consent Order – South Florida Insurance Fraud, Mismanagement and Theft Litigation Attorney
2013-10-26: Florida Insurance News and Enforcement Actions – Florida Insurance Fraud, Mismanagement and Breach of Fiduciary Duty Litigation and Arbitration Attorney
2013-10-23: OX Trading, LLC, optionsXpress, Inc. and Thomas E. Stern – South Florida Option Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-10-23: Crowdfunding – Florida Securities and Investment Litigation and Arbitration Attorney
2013-10-18: Pyramid Schemes Posing as Multi-Level Marketing Programs – Florida Pyramid Scheme and Multi-Level Marketing State and Federal Court Litigation Attorney
2013-10-18: John Micciola – Florida Securities Fraud and Theft FINRA Arbitration and Litigation Attorney
2013-10-18: Pyramid Scheme – Florida Fraud and Misrepresentation State and Federal Court Litigation Attorney
2013-10-16: Equity Indexed Annuity – South Florida Insurance and Securities Fraud FINRA Arbitration and Litigation Attorney
2013-10-15: Zero Coupon Bond or Security – Boca Raton, Florida Corporate and Municipal Bond and Stock FINRA Arbitration and Litigation Attorney
2013-10-12: Broker – Dealers (How to Identify One) – Florida Securities and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-10-06: Master Limited Partnership v. Public Limited Partnership – Florida Limited Partnership Federal, State and Arbitration Attorney
2013-10-05: Corporation Annual Report (10-K) – Florida Business Practice and Corporate Litigation Attorney
2013-10-03: Prime Bank Fraud, Bank Guarantee Fraud, Gemstone Fraud, Precious Metals Fraud and Sovereign Bond Fraud – Florida Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-10-02: EB-5 Visa Program Fraud – Florida EB-5 Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-10-02: “EB-5” Private Placement and Other Investment Abuses – Florida Private Placement and Other Investment Abuses Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-09-30: Jenny Coplan and Immigration General Services – South Florida Affinity and Ponzi Scheme Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-09-30: Margin – Leverage Abuse and Exploitation – South Florida Leverage and Margin Abuse, Exploitation and Manipulation FINRA Arbitration and Litigation Attorney
2013-09-28: Unregistered Investment Advisor – Florida Unregistered Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-09-28: Gignesh Movalia, Edwin V. Gaw and OM Investment Management, LLC. – Florida Investment Advisor and Hedge Fund Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney
2013-09-28: Frank Dappah and Yatalie Capital Management – Florida Excessive Investment Advisory Fee Litigation and FINRA Arbitration Attorney
2013-09-28: Nicolette Loisel – Florida Corporate Hijacking Litigation and FINRA Arbitration Attorney
2013-09-27: Financial Abuse of Older Adults – Florida Elder Abuse and Financial Loss FINRA Arbitration and Litigation Attorney
2013-09-27: Chan Tze Ngon – Florida Reverse Merger Fraud, Misrepresentation and Breach of Contract Litigation and FINRA Arbitration Attorney
2013-09-27: Ronald Walblay, RyHolland Fielder, Inc. and Energy Securities Inc. – South Florida Oil and Gas Limited Partnership Fraud, Mismanagement and Unregistered Securities FINRA Arbitration and Litigation Attorney
2013-09-26: Peter Kirschner and Stuart Rubens – Florida Elder (Senior) Investment Abuse and Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-09-26: Stephen L. Kirkland and the Kirkland Organization, Inc. – False and Misleading Statements to Foreign and Domestic Investors – Florida FINRA Arbitration and Litigation Attorney
2013-09-25: Investment Overvaluation and Valuation Misstatement – South Florida Investment and Mismanagement Litigation and FINRA Arbitration Attorney
2013-09-25: Private Equity – Private Investment – Private Security – Florida Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2013-09-22: No-Load Fund – Florida Mutual Fund Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-09-22: New Issue – Florida Securities and Investment Loss FINRA Arbitration and Litigation Attorney
2013-09-22: Benjamin S. Staples and Benjamin O. Staples – Florida Terminally Ill Investment and Securities Fraud Litigation and FINRA Arbitration Attorney
2013-09-21: Jenifer E. Hoffman, Joch C. Boschert and Bryan T. Zuzga – Florida Prime Bank Offering and Ponzi Scheme Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-09-20: Walter v. Gerasimowicz, Meditron Asset Management, LLC., and Meditron Management Group, LLC. – South Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2013-09-20: Joseph Paul Zada – South Florida Mail and Wire Fraud Litigation and FINRA Arbitration Attorney
2013-09-20: Short Selling (Rule 105 of Regulation M) – South Florida Prohibited Short Sale Litigation and FINRA Arbitration Attorney
2013-09-19: Registration Rules for Municipal Advisors – Florida Municipal Bond Litigation Attorney
2013-09-17: Unit Investment Trust (UIT) – South Florida Investment Adviser Securities and Investment Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-09-17: False and Misleading Information Investment and Securities Fraud Florida Litigation and FINRA Arbitration Attorney
2013-09-17: South Florida Money Manager Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-09-12: Paul Marshall, Bridge Securities, LLC., Bridge Equity, Inc. and FOGFuels, Inc. – South Florida Investment Advisor and Broker/Dealer Theft, Breach of Fiduciary Duty and Negligence FINRA Arbitration and Litigation Attorney
2013-09-12: Affinity Fraud – Haitian-American Investors – South Florida Affinity Investment Fraud FINRA Arbitration and Litigation Attorney
2013-09-10: Fraudulent Promissory Note Offering – South Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2013-09-10: Anthony John Johnson – Florida Civil Conspiracy and Investment Fraud FINRA Arbitration and Litigation Attorney
2013-09-09: Prime Bank Investment Fraud – South Florida Securities and Investment Fraud Litigation and FINRA Arbitration Attorney
2013-09-06: Ronald Feldstein, Mara Capital Management and Vita Health of America – Florida Free-Riding Investment Fraud FINRA Arbitration Attorney
2013-09-05: Proposed FINRA Rule Change to Amend the Discovery Guide Used in Customer Cases to Provide Guidance on Electronic Discovery, Product Cases and Affirmations – South Florida FINRA Arbitration Attorney
2013-09-01: False and Misleading Radio and Television Broker/Dealer Advertising – South Florida Direct (Alternative) Investment and Private Placement Fraud FINRA Arbitration and Litigation Attorney
2013-09-01: South Florida Selling Away, Approved and Unapproved Outside Business Activity and Negligent Supervision FINRA Arbitration and Litigation Attorney
2013-08-30: Hedge Funds – Florida Hedge Fund Investment Loss and Mismanagement Litigation and Arbitration Attorney
2013-08-30: Income Mutual Fund – South Florida Mutual Fund Abuse and Loss FINRA Arbitration and Litigation Attorney
2013-08-28: Registration and Regulation D – Florida Investment and Securities Fraud Litigation and FINRA Arbitration Attorney
2013-08-28: Retirement Fraud, Mismanagement and Breach of Fiduciary Duty Litigation and FINRA Arbitration Attorney
2013-08-27: Actual Delivery – South Florida Precious Metals Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-08-27: Insured Municipal Bonds – Florida Municipal and Corporate Bond Investment Loss FINRA Arbitration and Litigation Attorney
2013-08-23: High Yield – Junk Bond – Florida Investment Loss Litigation and FINRA Arbitration Attorney
2013-08-22: Sean Robert Stropp, Karl Spicer, Ricardo Garcia and PMCO Services, Inc. – Florida Precious Metals Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-08-22: Short-Term Bond Fund – South Florida Sock and Bond Investment Loss FINRA Arbitration and Litigation Attorney
2013-08-21: Philip Falcone and Harbinger Capital Partners – Florida Investment and Securities Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-08-21: Blake Richards – South Florida Retirement Funds Misappropriation and Theft FINRA Arbitration and Litigation Attorney
2013-08-15: Option Price – South Florida Option Fraud, Mismanagement and Breach of Fiduciary Duty Monetary Loss FINRA Arbitration and Litigation Attorney
2013-08-15: Florida Microcap and Penny Stock Fraud and Investment Loss FINRA Arbitration and Litigation Attorney
2013-08-15: Javier Martin-Artajo and Julien Grout – Florida Securities and Investment Loss FINRA Arbitration and Litigation Attorney
2013-08-15: Cash Basis of Accounting, Accrual Method of Accounting and Modified Cash Basis of Accounting – Florida Breach of Contract, Breach of Fiduciary Duty, Fraud and Accounting Negligence Litigation Attorney
2013-08-14: Form U4 – Application for Securities Industry Regulation or Transfer – South Florida Brokerage and Account Executive Attorney
2013-08-14: High Yield Bonds – Florida Bond Investment Loss FINRA Arbitration and Litigation Attorney
2013-08-14: Gregory N. McKnight – Florida Investment and Securities Ponzi Scheme FINRA Arbitration and Litigation Attorney
2013-08-13: Steven B. Heinz and S.B. Heinz & Associates, Inc. – Florida Financial Planning and Insurance Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-08-13: Worth Bullion Group Inc, Andrew Wilshire and Eugenia Mildner – Florida Commodity and Precious Metals Fraud and Misrepresentation Litigation Attorney
2013-08-08: Hedge Fund Scheme Targeting Fellow Military – South Florida Hedge Fund and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-08-08: Bank Of America N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith, Inc. – Florida Residential Mortgage-Backed Securities – South Florida Material Misrepresentation FINRA Arbitration and Litigation Attorney
2013-08-08: UBS – Collateralized Debt Obligation (CDO) – Florida Collateralized Debt Obligation Fraud and Market Manipulation FINRA Arbitration and Litigation Attorney
2013-08-06: John Rizzo – Florida Penny Stock Boiler Room and Market Manipulation FINRA Arbitration and Litigation Attorney
2013-08-06: Cort Poyner and Mohammad Dolah – Florida Common and Penny Stock Manipulation and Fraud FINRA Arbitration and Litigation Attorney
2013-07-30: Program Trading – South Florida Investment Loss FINRA Arbitration and Litigation Attorney
2013-07-27: Taxable Municipal Bond – Bond Investment Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2013-07-26: Jorge Bravo, Jr. – “Wrap Around Agreements” – Florida Unregistered Sale of Securities Fraud Litigation and Arbitration Attorney
2013-07-26: Premium Bond – Florida Municipal, Corporate and Revenue Bond Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-07-26: Preliminary Prospectus (Official Statement) – South Florida Fraudulent and Misleading Offering Document FINRA Arbitration and Litigation Attorney
2013-07-25: Put and Call Option Premium – South Florida Option Abuse, Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney
2013-07-19: City of Miami and Michael Boudreaux – South Florida (Miami) Municipal Bond Offering Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-07-17: Rule 506 of Regulation D Recent Amendments Regarding General Solicitation and General Advertising – South Florida Private Placement Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-07-17: Steven J. Brewer – South Florida Promissory Note Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-07-17: Johnny Clifton – Florida Oil and Gas Limited Partnership Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-07-16: Notice of Adoption of Final Rule for Broker – Dealers Engaging in a Retail Forex Business – South Florida Retail Forex FINRA and NFA Arbitration Attorney
2013-07-13: Yield To Maturity (YMT) – South Florida Fixed Income Breach of Fiduciary Duty, Negligent Supervision and Fraud FINRA Arbitration and Litigation Attorney
2013-07-13: Alfred Clay Ludlum III – South Florida Investment Adviser Fraud, Breach of Fiduciary Duty and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-07-13: Martin C. Hartmann III and Laura Ann Tordy – South Florida Securities and Investment Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-07-11: Negotiable Instrument – Florida Uniform Commercial Code Litigation and AAA Arbitration Attorney
2013-07-09: Ponzi Scheme and Fraudulent Gold Futures Investment Program – Florida Securities and Precious Metals Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-07-04: Manhattan Beach Trading Financial Services dba MB Trading – South Florida Negligent Supervision FINRA Arbitration and Litigation Attorney
2013-07-04: KeyBanc Capital Markets, Inc. f/k/a McDonald Investments Inc. – Florida Failure to Supervise and/or Negligent Supervision FINRA Arbitration and Litigation Attorney
2013-07-03: Sales Practice Violations – Discretionary Trading Without Authorization, Unauthorized Trading, Unsuitable and Excessive Trading and Churning – South Florida FINRA Arbitration and Litigation Attorney
2013-07-03: Risks of High Yield Corporate Bonds – South Florida High Yield Corporate Bond Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-07-03: High Yield Corporate Bond – Florida High Yield and Fixed Income Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-07-02: Matthew Madison and Dwight McGhee – Florida Oil and Gas Investment Fraud Litigation Attorney
2013-07-02: Bret L. Boteler – Florida Oil and Gas Private Placement Fraud and Misrepresentation Litigation Attorney
2013-07-01: Risks Associated With Corporate and Municipal Bonds – Florida Corporate and Municipal Bond FINRA Arbitration and Litigation Attorney – Investors May Be Able to Recover Their Investment Losses
2013-07-01: The Relationship Between Corporate and Municipal Bond Prices, Interest Rates and Yield – South Florida FINRA Arbitration and Litigation Attorney
2013-07-01: Corporate Bonds – Price, Face Value, Maturity, Coupon Rate and Yield to Maturity – South Florida Business and Corporate Litigation Attorney
2013-06-30: Secured vs. Unsecured Corporate and Municipal Bonds – South Florida FINRA Arbitration and Litigation Attorney – You May Be Able To Recover Your Investment Losses
2013-06-30: Basic Characteristics of Corporate and Municipal Bonds – Florida FINRA Arbitration and Litigation Attorney – Investment Losses
2013-06-30: Corporate Bonds – South Florida FINRA Arbitration and Litigation Attorney – Corporate Bond Losses
2013-06-30: Accounting Fraud and Accounting Negligence (Generally Accepted Accounting Principles) Florida Litigation and Arbitration Attorney
2013-06-23: FINRA Proposed Consolidated Supervision Rule – Florida Securities and Investment Negligent Supervision, Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-06-18: Duncan MacDonald and Gloria Solomon – Florida Ponzi Scheme, Securities and Investment Fraud Litigation and Arbitration Attorney, Russell L. Forkey, Esq.
2013-06-18: Florida Penny Stock and Market Manipulation Securities and Investment Fraud Litigation and Arbitration Attorney, Russell L. Forkey, Esq.
2013-06-18: James Fry – Florida Hedge Fund Securities and Investment Fraud Litigation and Arbitration Attorney, Russell Forkey, Esq.
2013-06-11: MayfieldGentry Realty Advisors, LLC. and Chauncey C. Mayfield – Florida Securities and Business Theft Litigation and Arbitration Lawyer
2013-06-10: Mark Morrow and Detroit Memorial Partners, LLC – Fraudulent Promissory Note and Fraudulent Equity Interest Commercial Litigation and FINRA Arbitration Attorney
2013-06-08: Penny Stock and Illegal Stock Offering – Florida Microcap Stock Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-06-03: Bullion Coins – Florida Precious Metals Fraud and Mismanagement State and Federal Court Litigation Attorney
2013-06-03: Net Asset Value (NAV) – Florida Corporate and Business State and Federal Court Litigation Attorney
2013-06-03: Robert A. Gist and Gist, Kennedy & Associates, Inc. – Florida Sports Agent and Investment Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-06-01: Executor – Executrix – Florida Elder Abuse and Advocate Litigation Attorney
2013-06-01: Contingent Deferred Sales Load – Florida Elder Abuse Mutual Fund and Breach of Fiduciary Duty FINRA Arbitration and
2013-05-31: Bond Discount – Florida Bond Investment Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-05-31: Investor Alert Regarding Government Impersonators – Florida Elder Advocate Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-05-31: John A. Grant – Florida Investment Advisor Fraud and Mismanagement Litigation Attorney
2013-05-31: Florida-Based Stock Promoter Charged with Lying to SEC Investigators – Florida Securities and Private Placement Fraud and Mismanagement Litigation Attorney
2013-05-29: Front Running – Florida Securities and Investment Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-05-29: SEC Charges NASDAQ for Failures During Facebook IPO – Florida Securities and Investment Violations FINRA Arbitration and Litigation Attorney
2013-05-29: Negligent Misrepresentation – Florida Commercial, Business and Tort State and Federal Litigation Attorney
2013-05-29: Professional Negligence (Malpractice) Claims Against Accountants (CPA), Engineers, Surveyors, Architects and Others – Florida State and Federal Court Litigation and AAA Arbitration Attorney
2013-05-26: Numismatic Coin – Florida Precious Metals and Numismatic Coin Fraud and Misrepresentation State and Federal Court Litigation Attorney
2013-05-25: Naked Option and Covered Option – Florida Securities Fraud, Misrepresentation, Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-05-25: Municipal Bond Insurance – Florida Municipal Security FINRA Arbitration and Litigation Attorney
2013-05-24: Merger – Florida Breach of Contract or Letter of Intent Commercial and Business Dispute and Litigation Attorney
2013-05-24: Blake Richards – Securities and Investment Fraud and Misappropriation FINRA Arbitration and Litigation Attorney
2013-05-23: Leverage Buyout (LBO) – Florida Breach of Contract and Fraud – Commercial and Business State and Federal Court Litigation Attorney
2013-05-23: Investment Banker – Florida Securities and Investment Abuse FINRA Arbitration and Business or Commercial Dispute Litigation Attorney
2013-05-22: City of South Miami, Florida – Municipal Bonds – Florida FINRA Arbitration and Litigation Attorney
2013-05-19: Limited Partnership – Florida Breach of Contract and Breach of Fiduciary Duty State and Federal Court Commercial and Business Litigation Attorney
2013-05-19: CMO REIT – South Florida Securities and Investment Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2013-05-19: Chinese Wall – South Florida Securities and Investment Breach of Contract and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-05-19: Boca Raton, Florida – Joseph Hilton a/k/a Joseph Yurkin – Florida Limited Partnership Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2013-05-19: Stephen B. Blankenship and Deer Hill Financial Group, LLC. – Florida Securities Broker – Dealer Misappropriation FINRA Arbitration and Litigation Attorney
2013-05-19: Cherry-Picking or Illicit Stock Allocation – South Florida Securities Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration, State and Federal Litigation Attorney
2013-05-16: FAQ About SEC Form 8-K – Florida Security and Investment Litigation and Arbitration Attorney
2013-05-15: Fixed-Income Investment – Florida Fixed-Income Abuse FINRA Arbitration and Litigation Attorney
2013-05-14: Investment Risk and the Average Investor – Florida Investment and Securities Risk FINRA Arbitration and Litigation Attorney
2013-05-14: Investment Strategy – Florida Common Stock and Bond FINRA Arbitration and Litigation Attorney
2013-05-13: Investment Objective, Risk and Suitability – South Florida Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-05-08: Richard Verdiramo and Vincent L. Verdiramo – Florida Penny and Low Priced Stock Fraud State and Federal Court Litigation Attorney
2013-05-08: Prime Bank Securities – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-05-08: Securities and Investment Fraud – Florida Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-05-08: Restricted or Lettered Securities – Florida Security, Investment and Business State and Federal Court Litigation and AAA Arbitration Attorney
2013-05-07: Municipal Securities and Continuing Disclosure Requirements – Florida Municipal Securities FINRA Arbitration and Litigation Attorney
2013-05-07: Making a Contract, Performing a Contract, Breaching a Contract – Florida Breach of Contract and General Business State and Federal Court Litigation Attorney
2013-05-05: General Partner – Florida Mismanagement, Breach of Fiduciary Duty or Breach of Contract Commercial and Business Litigation and Arbitration Attorney
2013-05-05: Accountant’s Opinion – Florida Accountant Negligence and Misstatement Commercial and Business Litigation Attorney
2013-05-05: Commercial Property – South Florida Business and Commercial Litigation and AAA Arbitration Attorney
2013-05-05: Commercial Paper – South Florida Business and Commercial Litigation and AAA Arbitration Attorney
2013-05-04: Letter of Credit – South Florida Business and Commercial Litigation Attorney
2013-05-04: Interest Rate Risk – South Florida State and Federal Court Commercial and Business Attorney
2013-05-04: Interest – Rate Options Contract – West Palm Beach, Florida FINRA Arbitration and Federal and State Court Litigation Attorney
2013-05-04: Foreign Currency Futures and Options – Florida National Futures Association Arbitration Attorney
2013-05-04: Emerging Growth Companies – Certain Unique Factors for Investors to Consider Before Investing in an IPO – South Florida FINRA Arbitration and Litigation Attorney
2013-05-04: IPO (Initial Public Offering) – Important Factors to Consider Before Investing in an IPO – Florida FINRA Arbitration and Litigation Attorney
2013-05-03: Initial Public Offering (IPO) – FAQs and Due Diligence Issues – Florida FINRA Arbitration and Litigation Attorney
2013-05-02: Steven Palladino – Florida Investment Capital Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-05-01: Inter Reef, Ltd. d/b/a Profitable Sunrise – Florida Internet Securities Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-05-01: Michael Bozora, Timothy Redpath, Capital Solutions Distributors, LLC and Capital Solutions Management, LP – Florida Investment Fund Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-05-01: Jeffrey Stebbins and Corbin Jones – Florida Stockbroker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-04-29: City of Victorville, Southern California Logistics Airport Authority and Kinsell, Newcomb & De Dios – Florida Municipal Bond Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-04-28: Daniel F. Peterson and USA Real Estate Fund 1 – West Palm Beach, Florida Investment Capital Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-04-28: Josehp Hilton f/k/a Joseph Yurkin and New Horizon Publishing Inc. – Florida Securities and Investment Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-04-28: Joshua Constantin and Windham Securities, Inc. – South Florida Securities and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2013-04-28: RBC Capital Markets Corporation nka RBC Capital Markets, LLC. – Delray Beach, Florida Closed – End Fund Unsuitable Recommendation FINRA Arbitration and Litigation Attorney
2013-04-27: Fort Lauderdale, Florida False and Misleading Sales Material FINRA Arbitration and Litigation Attorney
2013-04-27: Boca Raton, Florida, Unregistered Broker – Dealer Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-04-26: Daniel F. Peterson and USA Real Estate Fund 1, Inc. – South Florida Investment Capital Fraud and Misrepresentation State and Federal Litigation Attorney
2013-04-22: Jauyo “Jason” Lee and Victor Chen – South Florida Securities and Investment Fraud and Misrepresentation Attorney
2013-04-22: Market Manipulation Investigation – Subpoena Enforcement Action – Florida Attorney
2013-04-21: Linda Woolf, Hands On Capital, Inc. – South Florida Securities and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-04-08: Glenn Hoppes, United States Energy Corp., TN-KY Development Fund LP., et. al. – Florida Oil and Gas Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-04-01: Municipal Bonds Failure to Disclose – Florida Municipal Bond FINRA Arbitration and Litigation Attorney
2013-04-01: “Stock Picking Robot” and Penny Stock – Florida Securities Fraud and Mismanagement Litigation and FINRA Abritration Attorney
2013-04-01: Florida Precious Metals Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-03-29: Joseph Glenn Commodities, LLC., JGCF, LLC, Scott Newcom and Anthony Pulieri – South Florida Precious Metals Fraud and Registration Violation Litigation Litigation and Arbitration Attorney
2013-03-27: Jeffrey Rubin – South Florida Unsuitable Recommendations and Selling Away FINRA Arbitration and Litigation Attorney
2013-03-24: Southeast Florida Hedge Fund Fraud, Misrepresentation and Mismanagement Litigation Attorney
2013-03-24: South Florida Investment Advisor Misappropriation State and Federal Litigation Attorney
2013-03-19: E-Monnee.com, Inc., Estuardo Benavides and Robert B. Cook – Fort Lauderdale, Florida Securities and Investment Fraud Litigation and FINRA Arbitration Attorney
2013-03-19: Municipal Securities – MSRB Makes Continuing Disclosure Monthly Statistics Available on EMMA
2013-03-19: Gregg D. Caplitz and Onsite Strategic Management – Boca Raton, Florida Investment Advisor Fraud and Mismanagement Litigation and FINRA Arbitration Attorney
2013-03-18: Edmund E. Wilson and Walter L. Ross – South Florida Sale of Unregistered Common and Preferred Stock FINRA Arbitration and Litigation Attorney
2013-03-18: “Pump-and-Dump” – Microcap Stock – South Florida Securities and Brokerage Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-03-14: Frederick J. O’Meally – South Florida Deceptive Practices Market Timing Litigation and FINRA Arbitration Attorney
2013-03-14: J.C. Reed & Company and Barron A. Mathis – Florida Common and Preferred Stock State and Federal Litigation and FINRA Arbitration Attorney
2013-03-13: Initial Public Offering (IPO) – How to Invest in an IPO – South Florida Investment Fraud and Mismanagement Attorney
2013-03-08: South Florida Sale of Unregistered Securities and Investment Fraud and Mismanagement Litigation and FINRA Arbitration Attorney
2013-03-08: Florida Joint Venture Fraud, Misrepresentation and Mismanagement Federal and State Litigation Attorney
2013-03-08: Scott I. Kupersmith – Florida Free-Riding Violation Scheme Federal and State Litigation Attorney
2013-03-07: Florida Fraudulent Legal Opinion Letter (Rule 144) Litigation and FINRA Arbitration Attorney
2013-03-07: Stock and Bond Investment Publication Fraud and Misrepresentation Federal and State Litigation Attorney
2013-03-05: Falcon Ridge Development, Inc. and Fred M. Montano – Florida Stock Manipulation Litigation Attorney
2013-03-05: South Florida Hedge Fund Fraud and Mismanagement Litigation Attorney, Russell L. Forkey, Esq.
2013-03-01: Florida Real Estate and Real Estate Fund Fraud and Mismanagement Litigation Attorney
2013-03-01: New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira and Tara Bryson – Florida Hedge Fund Fraud and Mismanagement Litigation and Arbitration Attorney
2013-03-01: Adam S. Rosengard – Florida Penny Stock Manipulation Litigation and Arbitration Attorney
2013-03-01: Florida Accounting and Financial Disclosure Fraud, Breach of Contract and Negligence Litigation and FINRA Arbitration Attorney
2013-02-27: Henry Everette Walker Jr. – Florida Private Placement Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney
2013-02-27: Scott Douglas Stephenson – Florida Misappropriation of Funds FINRA Arbitration and Litigation Attorney
2013-02-26: Hunter Wise Commodities, LLC., et. al. – Court Grants Preliminary Injunction
2013-02-26: Edward Antonio Salazar aka Ted Salazar – South Florida Bonded Life Settlement Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2013-02-26: Enrique Roy – Miami Beach Florida Outside Business Acitivity FINRA Arbitration and Litigation Attorney
2013-02-26: Marty Edward Paul – Florida Unauthorized Outside Business Activity FINRA Arbitration and Litigation Attorney
2013-02-26: James Stuart Nesbit – Florida Improper Commission Payment FINRA Arbitration and Litigation Attorney
2013-02-25: Hunter Wise Commodities, LLC., Hunter Wise Services, LLC., Hunter Wise Credit, LLC., et. al. – South Florida Precious Metals Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-02-25: Rita Elizabeth Murry – Florida Broker/Dealer and Registered Representative FINRA Arbitration and Litigation Attorney
2013-02-25: Thomas Edward Kelly – Florida Selling Away and Unapproved Outside Business Activity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-02-25: James Coy Keene – Form U4 and U5 Material Misstatement and Omission FINRA Arbitration and Litigation Attorney
2013-02-20: We The People, Inc., Richard Olive, Susan Olive and William Reeves – Florida Affinity Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2013-02-20: Howard Brett Berger and Michelle Berger – Florida Common and Preferred Stock Fraud, Mismanagement and Breach of Contract FINRA Arbitration and Litigation Attorney
2013-02-20: 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
2013-02-20: Sean David Morton, Vajra Productions, LLC., 27 Investments, LLC, and Magic Eight Ball Distributing, Inc. – Florida Securities and Private Placement and Offering Fraud FINRA Arbitration and Litigation Attorney
2013-02-20: South Florida Securities and Investment Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-02-11: Timothy J. Roth – Florida Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2013-02-11: Benjamin C. Dalley, Randolph M. Taylor, William B. Mitchell – Florida Ponzi Scheme and other Fraudulent Conduct FINRA Arbitration and Litigation Attorney
2013-02-11: Florida Foreign Investment Fraud Litigation and Arbitration Attorney – A Chicago Convention Center, LLC., Anshoo Sethi and Intercontinental Regional Center Trust of Chicago, LLC.
2013-02-04: Charitable Gift Annuity Florida Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-01-31: Trading Program Fraud and Misrepresentation South Florida FINRA Arbitration and Litigation Attorney
2013-01-31: Fred Davis Clark, Jr., David W. Schwarz, Cristal R. Coleman, Barry J. Graham and Ricky Lynn Stokes – Florida Real Estate Investment Litigation Attorney
2013-01-27: Alison Marie Janke – Florida Securities and Investment Unapproved Loan FINRA Arbitration and Litigation Attorney
2013-01-27: Brett Henderson – Florida Variable Annuity Switch and Surrender Mismanagement FINRA Arbitration and Litigation Attorney
2013-01-27: Sean K. Hannon – Boca Raton, Florida Securities and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney
2013-01-27: Thomas Brown Hammond – Florida Theft and Securities Fraud and Misrepresentation FINRA Arbitration and State and Federal Litigation Attorney
2013-01-27: John Brady Guyette – Florida Private Placement Securities Fraud, Misrepresentation and Due Diligence FINRA Arbitration and Litigation Attorney
2013-01-23: Kenneth A. Dachman – Miami, Florida Investment and Securities Fraud and Mismanagement Litigation and FINRA Arbitration Attorney
2013-01-23: Raymond Y.H. Park – Cooper City, Florida Investment Advisor and Broker/Dealer Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-01-23: Sung Kook Hwang – Lauderhill, Florida Investment Advisor and Broker/Dealer Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-01-23: Egan-Jones Ratings Company and Sean Egan – Florida Asset Backed Securities and Government Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-01-21: Thomas Shannon Ensign – Florida Investment and Stock Breach of Fiduciary Duties and Negligence FINRA Arbitration and Litigation Attorney
2013-01-21: Kenneth Richard Doctor – Florida Variable Annuity or Fixed Income Annuity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-01-21: Gary Lee Cousino – Florida Securities Unauthorized Trade, Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2013-01-21: Joel William Carlson – South Florida Securities Theft and Conversion FINRA Arbitration and State and Federal Litigation Attorney
2013-01-20: Brent Robert Bishop – West Palm Beach, Florida Theft, Conversion and
2013-01-20: Michelle R. Bennett – Boca Raton, Florida Stock Fraud and Negligent Supervision FINRA Arbitration and Litigation Attorney
2013-01-20: Daniel Edward Becerril II – Florida Broker/Dealer and Account Executive Theft and Misrepresentation Attorney
2013-01-20: Corey Lamar Battey – South Florida Broker/Dealer Negligent Supervision FINRA Arbitration and Litigation Attorney
2013-01-20: Milton Charles Ault III – Florida Unauthorized Stock and Bond Trading FINRA Arbitration and Litigation Attorney
2013-01-18: Francis E. Wilde, Steven E. Woods, Mark A Gelazela and Bruce H. Haglund – Florida Prime Bank or High Yield Investment Fraud FINRA Arbitration and Litigation Attorney
2013-01-18: Cameron H. Linton, Karen S. Beach, Capital Edge Enterprises, LLC., Protege Enterprises, LLC., Christel S. Succi – South Florida Penny Stock Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2013-01-18: Improper Trade Allocation and Cherry-Picking – South Florida Broker/Dealer and Investment Advisor FINRA Arbitration and Litigation Attorney
2013-01-18: Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2013-01-10: Michael E. Metter and Steven Y. Moskowitz – Florida Penny Stock and Fraudulent Sale of Unregistered Stock Litigation and Arbitration Attorney
2013-01-10: Edward J. Woodard, Jr., Cynthia A. Sabol and Stephen G. Fields – Accounting Fraud and Negligence Florida Litigation and Arbitration Attorney
2013-01-10: Accounting Fraud and Negligence Florida Litigation and Arbitration Attorney
2013-01-10: Chetan Kapur and ThinkStrategy Capital Management – South Florida Hedge Fund Fraud and Mismanagement Arbitration and Litigation Attorney
2013-01-03: Mutual Fund Fraud and Mismanagement – Florida FINRA Arbitration and Litigation Attorney
2013-01-03: Nekekim Corp. and Kenneth W. Carlton – South Florida Precious Metals Fraud Litigation and Arbitration Attorney
2012-12-28: Raj Rajaratnam – Investment and Securities Fraud and Misrepresentation Florida FINRA Arbitration and State and Federal Litigation Attorney
2012-12-27: Kamal Abdallah and Eric Todd Seiden – South Florida Low Priced Stock (Penny Stock) Fraud and Breach of Fiduciary Duty FINRA Arbitration and State (Broward and Palm Beach County) and Federal Litigation Attorney
2012-12-27: Steven B. Hart – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and State (Broward and Palm Beach County) and Federal Court Litigation Attorney
2012-12-27: Danny Garber, Michael Manis, Kenneth Yellin and Jordan Feinstein – Florida Penny Stock Fraud and Misrepresentation FINRA Arbitration and State and Federal Litigation Attorney
2012-12-27: John A. Geringer, Christopher A. Luck and Keith E. Rode – Florida Ponzi Scheme Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2012-12-27: Trent Martin – Insider Trading and Market Manipulation Stock Fraud FIN RA Arbitration and Litigation Attorney
2012-12-18: Spencer Pharmaceutical, Inc., Jean-Francois Amyot, Maximilien Arella, Ian Morrice, IBA Media Inc. and Hilbroy Advisory, Inc. – Florida Penny Stock Fraud and Misrepresentation Federal and State Court Litigation Attorney
2012-12-18: Collateralized Loan Obligations and Collateralized Debt Obligations – Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-12-17: 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
2012-12-14: BioChemics, Inc., John Masiz, Craig Medoff and Gregory Kroning – Boca Raton, Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-12-14: Jeffrey A. Liskov and EagleEye Asset Management, LLC. – South Florida Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2012-12-14: Deer Hill Financial Group and Stephen B. Blankenship – Fort Lauderdale, Florida Investment and Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-12-12: Edward D. Jones & Co., L.P. d/b/a Edward Jones – Florida Fixed Income Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2012-12-12: Freedom Investors Corp., Joel Reid Blumenschein and Gary Lee Gossett – Florida Penny Stock Fraud, Breach of Fiduciary and Breach of Heightened Supervision FINRA Arbitration and Litigation Attorney
2012-12-11: Steven B. Hart – Florida Securities and Investment Trading Fraud FINRA Arbitration and Litigation Attorney
2012-12-11: Premco Western, Inc. and Rodney Ratheal – Florida Oil and Gas Fraud and Misrepresentation State and Federal Court Litigation Attorney
2012-12-10: John W. Femenia, Shawn C. Hegedus, Aaron M. Wens, Matthew Musante, et. al. – Southwest Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2012-12-10: Benjamin R. Daniels – Daytona Beach, Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2012-12-07: Guy M. Jean-Pierre – Pompano Beach, Florida Restricted Stock Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2012-12-07: Claudio Osorio and Craig Toll – South Florida Securities and Investment Federal and State Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-12-07: Hunter Wise Commodities, LLC., Hunter Wise Services, LLC., Hunter Wise Credit, LLC., Hunter Wise Trading, LLC., Lloyds Commodities, C.D. Hopkins, James Burbage, Frank Gaudino, et. al. – Florida Precious Metals Fraud Arbitration and Litigation Attorney
2012-12-05: Angelo A. Alleca – Fort Lauderdale, Florida Securities, Investment and Insurance Fraud Misrepresentation and Litigation Attorney
2012-12-05: Thomas C. Conradt and David J. Weishaus – West Palm Beach, Florida Securities and Investment Fraud (Call Option) FINRA Arbitration and Litigation Attorney
2012-12-05: Joseph J. Hennessy and Resources Planning Group – South Florida Investment Fund and Private Equity Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2012-12-05: Joseph P. Cillo – Dade City and Tampa, Florida Penny Stock and Reverse Merger Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-12-05: SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws – Florida Securities and Investment FINRA Arbitration and Litigation Attorney
2012-12-05: Anand Sekaran – Boca Raton, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-12-05: Arnett L. Waters – South Florida Broker/Dealer and Investment Advisor Fraud and Misappropriation FINRA Arbitration and Litigation Attorney
2012-12-05: Timothy S. Durham, Rick D. Snow and James F. Cochran – Florida Securities and Investment Fraud and Theft FINRA Arbitration and Litigation Attorney
2012-11-19: John Lazorchak, Mark S. Cupo, Michael Castellim Michael T. Pendolino, Mark D. Foldy, James N. Deprado and Lawerance Grum – Securities and Investment (Public and Private) Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-11-17: MassMutual – South Florida Annuity and Insurance Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-11-17: BP p.l.c. – Florida Limited Partnership Oil and Gas Fraud and Misrepresentation Litigation Attorney
2012-11-17: Residential Mortgage-Back Securities (RMBS) – Florida Securities Offering Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-11-11: Treasury Bills, Bonds and Notes – South Florida Broker/Dealer and Investment Advisor Fraud, Breach of Fiduciary Duty and Negligence FINRA Arbitration and Litigation Attorney
2012-11-10: Collateralized Mortgage Obligation – South Florida CMO Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-11-10: Wasson Capital Advisors Ltd. and Anand Sekaran – Florida Misuse of Funds and Theft FNIRA, AAA and JAMS Arbitration and Litigation Attorney
2012-11-10: Lee Cole, Liden Boyne and Electronic Game Card, Inc. – Securities and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2012-11-09: James F. Ellis – Wilton Manors, Florida Ponzi Scheme and Investment Fraud FINRA Arbitration and Litigation Attorney
2012-11-08: Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle) and Jilapuhn, Inc., d/b/a Her Majesty’s Credit Union, LLC. – Hollywood, Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-11-08: Medlink International, Inc., Aurelio Vuono and James Rose – South Florida Misleading and False Financial Reporting and Annual Report FINRA Arbitration and Litigation Attorney
2012-11-05: Closed-End Fund – South Florida Misrepresentation and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-11-04: Sean Donald Premock – Boca Raton, Florida Broker/Dealer and Investment Advisor Outside Business and Selling Away FINRA Arbitration and Litigation Attorney
2012-11-04: Jon Edward Piwowarczyk – Delray Beach, Florida Broker/Dealer and Investment Advisor Unauthorized Loan FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-11-04: Roland Craig Matatics – West Palm Beach, Florida Account Executive Theft and Conversion FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-11-03: Harrison A. Hatzis – Hallandale, Florida Broker/Dealer and Investment Advisor Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-11-03: Carolyn Avia Harmon – Royal Palm Beach, Florida Broker/Dealer and Investment Advisor Theft and Conversion FINRA Arbitration and Litigation Attorney
2012-11-03: Eugenio Verzili – Hollywood, Florida Investor Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-11-02: Variable Annuity – South Florida Variable Annuity FINRA Arbitration and Litigation Attorney
2012-11-01: Philip Christopher Crescimanno – Land O’ Lakes, Florida Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney
2012-11-01: Timonthy David Cochrane – Margate, Florida Broker/Dealer Theft and Conversion FINRA Arbitration and Litigation Attorney
2012-11-01: Russell Kent Childs – Coral Springs, Florida Broker/Dealer and Investment Advisor Private Placement Suitability FINRA Arbitration and Litigation Attorney
2012-11-01: Lowell Andrew Chick – Davie, Florida Theft and Conversion Broker/Dealer and Investment Advisor FINRA Arbitration and Litigation Attorney
2012-11-01: Tilden Loucks, & Woodnorth, LLC, Lasalle St. Securities and Ralph B. Loucks – Lake Worth, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-10-31: Mayra Alejandra Carpena – North Palm Beach, Florida Broker/Dealer and Investment Advisor Forgery FINRA Arbitration and Litigation Attorney
2012-10-31: John Brian Busacca III – Orlando, Florida Broker/Dealer Operations FINRA Arbitration and Litigation Attorney
2012-10-31: Charles Oscar Boneck Jr. – Jupiter, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-10-31: Brett Reed Barber – Stuart, Florida Broker/Dealer and Investment Advisor Negligent Supervision and Mismanagement FINRA Arbitration and Litigation Attorney
2012-10-30: Back-End Load – South Florida Mutual Fund and Annuity FINRA, AAA, JAMS Arbitration and Litigation Attorney
2012-10-29: Thomas S. Mulholland and James C. Mulholland, Jr. – Florida Real Estate Investment Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-28: Short Sales, Selling Against the Box and Short Sale Restrictions – Florida Broker/Dealer and Investment Advisor FINRA Arbitration and Litigation Attorney
2012-10-28: Annuitant and Annuitize- West Palm Beach, Florida Insurance and Broker/Dealer Fraud and Misrepresentation Attorney
2012-10-26: Ultralat Capital Markets, Inc. – Miami, Florida Broker/Dealer Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-10-26: Stifel, Nicolaus & Company, Incorporated – Fort Lauderdale, Florida Broker/Dealer Negligent Supervision FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-26: Ryan M. Jindra – Orlando, Florida Investment Advisor Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-25: SEI Investments Distribution Co. – Boca Raton, Florida Exchange Traded Funds (ETFs) Misrepresentation and Omission FINRA Arbitration and Litigation Lawyer
2012-10-25: Global Transition Solutions, Inc. and James Edward Zogby – Florida Broker/Dealer and Investment Advisor FINRA Arbitration and Litigation Attorney
2012-10-25: Midas Securities, LLC. and Jay S. Lee – Tampa, Florida Unregistered Securities FINRA, AAA and JAMS Arbitration Lawyer
2012-10-25: Maxxtrade, Inc. and Myron David Schneidt – Miami, Florida Excessive Markup and Markdown FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: James Landon Yarbrough – Clearwater, Florida Unauthorized Loan from Client FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: Douglas Eugene Vannoy – Daytona Beach, Florida Securities Theft FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: Matthew Christopher Valentine – Royal Palm Beach, Florida Securities Theft FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: Alan Ronald Taylor – Tallahassee, Florida Broker/Dealer and Investment Advisor FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: Leland Otto Stevens – Tampa, Florida Promissory Note, Unauthorized Outside Business Activity FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: Mark Alan Schroeder – Homestead, Florida Theft and Conversion FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-24: Ryan Reaume Riley – Key West, Florida Private Securities Transaction and Selling Away FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-23: Timothy Leon Pittman – Miami, Florida Unauthorized Customer Borrowing FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-23: Jeffrey Dean Ogle – Florida Broker/Dealer Fraud and Breach of Fiduciary Duty FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-23: Lloyd Thomas Mincy Jr. – Orlando, Florida Variable Annuity Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-23: Joshua Martinez – Florida Common Stock Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration Attorney
2012-10-23: David Austin Kembel – South Florida Improper Borrowing Funds From Securities Clients FINRA Arbitration and Litigation Attorney
2012-10-23: Mikal Keahey Johnson – Lake Worth, Florida Unauthorized Discretion FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-23: William Edward Herlihy – South Florida Sale of Unregistered Securities FINRA, AAA and Jams Arbitration and Litigation Attorney
2012-10-23: Steven Vincent Hazard – Hollywood, Florida Promissory Note FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-23: Jeffrey James Frye – Boynton Beach, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-22: Jimmy Wayne Freeman Jr. – Coral Springs, Florida Private Placement and Selling Away FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-22: Philip Eckstein – Delray Beach, Florida Theft and Fraud FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-22: Brian Ray Eastridge – Florida Private Securities Transactions Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-22: Richard Joseph Buswell and Herbert Steven Fouke – Florida Unsecured Bridge Notes, Warrants and Unsecured Promissory Note FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-22: George Samuel Baseluos – Florida Private Placement Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration and Litigation Attorney
2012-10-21: Richard Declan Bailey – Fort Lauderdale, Florida Securities Breach of Fiduciary Duty FINRA, AAA and JAMS Arbitration Attorney
2012-10-21: Carla Norah Amieiro – Boca Raton, Florida, Securities Fraud and Misrepresentation FINRA, AAA and JAMS Arbitration Attorney
2012-10-21: Stone & Youngberg, LLC. – Florida FINRA, AAA, and JAMS Arbitration Attorney
2012-10-21: Headwaters, BD, LLC., Paul Edward Jackson, Roberta Ann Laraway and Philip Williams Seefried, Jr. – Florida FINRA, AAA JAMS Arbitration Attorney
2012-10-19: Arnett L. Waters – Florida Securities and Precious Metals Fraud AAA and JAMS Arbitration and Litigation Attorney
2012-10-19: Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry – South Florida Investment and Securities Litigation and FINRA and AAA Arbitration Attorney
2012-10-19: Timonthy Huff, Lawrence Lynch, Joseph J. Monterosso and Luis Vargas – Florida Securities and Investment Fraud FINRA and AAA Arbitration and Litigation Attorney
2012-10-18: Michael J. Southworth and The Investors Registry, LLC. – Florida Unregistered Broker/Dealer Litigation Attorney
2012-10-18: Yorkville Advisors, LLC., Mark Angelo and Edward Schinik – Fort Lauderdale, Florida Investment Advisor Fraud FINRA and AAA Arbitration and Litigation Attorney
2012-10-17: William Jeffery Chandler – Florida NFA Arbitration and Litigation Attorney
2012-10-17: Claudio Aliaga and CMA Capital Management, LLC. – Florida NFA Arbitration and Litigation Attorney
2012-10-17: Martin B. Rosenthal – Florida Fraud NFA Arbitration and Litigation Attorney
2012-10-17: Oscar Hernandez, Midway Trading Company, LLC and Conquest Investment Group, Inc. – Florida NFA Arbitration and Litigation Attorney
2012-10-17: GlobeFX Club, Inc. and Jeremy Munson Globe – Florida NFA Arbitration and Litigation Attorney
2012-10-16: Derek F.C. Elliott – Florida Sale of Unregistered Securities FINRA, AAA Arbitration and Litigation Attorney
2012-10-16: Rick Cho – Boca Raton, Florida Investment Advisor Fraud and Misrepresentation FINRA, AAA Arbitration and Litigation Attorney
2012-10-16: Andre J. Hayden – Florida Real Estate and Investment Fraud and Misrepresentation Litigation and FINRA and AAA Arbitration Attorney
2012-10-16: Scott E. Johnson – Florida Securities Theft and Mismanagement FINRA, AAA Arbitration and Litigation Attorney
2012-10-12: Stephen B. Blankenship – Fort Lauderdale Securities Fraud Litigation, FINRA and AAA Arbitration Attorney
2012-10-06: Annuity – Florida Annuity and Insurance Fraud Litigation Attorney
2012-10-06: Marek Leszczynski, Benjamin Chouchane, Gregory Reyftmann and Condron – Florida Fraudulent Markup and Markdown Securities Fraud Attorney
2012-10-04: Investments and Active Management – Florida Investment Advisor and Broker-Dealer FINRA Arbitration and Litigation Attorney
2012-10-04: Active Brokerage Account – South Florida Broker/Dealer Churning and Investment Fraud Attorney
2012-10-04: Lemon Bay Asset Management, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
2012-10-04: Keystone Wealth Management, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
2012-10-04: Highwater Ethanol, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
2012-10-04: Andrew Powell – State of Florida, Department of Financial Regulation Enforcement Action
2012-10-04: GEI Financial Services, Inc., Norman Goldstein and Laurie Gatherum – Investment Adviser and Broker/Dealer Fraud and Misrepresentation Attorney
2012-10-04: Joseph Hilton a/k/a Joseph Yurkin and Pacific Northwestern Energy LLC. – Florida Oil and Gas Fraud and Misrepresentation Attorney
2012-09-30: Douglas Alan Goldberg – SEC Administrative Action
2012-09-30: David Rubin – SEC Administrative Action
2012-09-29: Wentley Financial Services – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-29: Premier Wealth Management, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-29: Pointe Atlantic, Inc., Aspen Capital Partners, LLC., and Peter Martin Peterson – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-29: Ministry Partners Investment Company, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-29: Matthew 25 Fund, Inc. – State of Florida, Department of Financial Regulation Enforcment Action
2012-09-29: Jack A. Arnold – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-29: Eric Bishop – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-29: Equity Group Financial Services – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-28: Candice D. Campbell – Florida Common and Preferred Stock Fraud FINRA Arbitration and Litigation Attorney
2012-09-28: Angelica Aguilera and LatAm Investments, LLC. – South Florida Failure to Supervise and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-09-28: Fabrizio Neves, Jose Luna and LatAm Investments, LLC – Florida Fraudulent Markup FINRA Arbitration and Litigation Attorney
2012-09-28: Jay T. Comeaux – Florida Securities Broker/Dealer Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2012-09-28: Christopher Keil Hicks, Focus Point Solutions and The H Group – Florida Failure to Disclose FINRA Arbitration and Litigation Attorney
2012-09-28: Steven Yamashiro – Boca Raton, Florida Penny Stock Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-09-28: Jason A. D’Amato – Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney
2012-09-28: Brian M. Campbell – Florida Theft and Misappropriation FINRA Arbitration and Litigation Attorney
2012-09-28: Daniel Bogar, Bernerd E. Young and Jason T. Green – Florida Promissory Note Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-09-28: The Jaffee Financial Group, Inc. – State of Florida, Department of Financial Regulation Enforcement Actio
2012-09-28: Bradley A. Holcom and Jose L. Pinedo – South Florida Senior Investment and Securities Fraud FINRA Arbitration and Litigation Attorney
2012-09-28: Thomas Meyer – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-27: 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly and Carl N. Duncan, Esq. – Florida Penny Stock Fraud FINRA Arbitration and Litigation Attorney
2012-09-26: Financial Professionals – Some Key Questions to Ask
2012-09-26: Gilbert G. Lundstrom, James A. Laphen and Don A. Langford – Central Florida Florida Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney
2012-09-26: Hold Brothers On-Line, Steve Hold, Robert Vallone and William Tobias – Layering or Spoofing (Manipulation) Florida Securities Fraud and Misrepresentation Attorney
2012-09-25: Prescient Capital Partners, Ltd., and Steven C. Yound – Florida Loan Participation Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-09-25: Roger L. Shoss, Esq. – Conspiracy to Commit Wire Fraud
2012-09-25: Cameron H. Linton, Esq. – Florida Unregistered Sale of Stock FINRA Arbitration and Litigation Attorney
2012-09-25: Bradford Keith Dent – Florida Unauthorized Day Trading FINRA Arbitration and Litigation Attorney
2012-09-25: Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and Rykoworks Capital Group, LLC. – Florida Investment and Securities Fraud and Misrepresentation Attorney
2012-09-22: Yusaf Jawed, Grifphon Asset Management, LLC., Grifphon Holdings, LLC and Robert P. Custis – Florida Hedge Fund Fraud and Misrepresentation Litigation Attorney
2012-09-21: Wynn Investments – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-21: Cochrane & Co., P.A. – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-20: Angelo A. Alleca and Summit Wealth Management, Inc. – Florida Fund of Funds Fraud and Misrepresentation Attorney
2012-09-19: Bruce Cole – Florida Municipal Bond Fraud and Misrepresentation Attorney
2012-09-18: Dwight O. Badger, Keith G. Daubenspeck and Advanced Equities, Inc. – Florida Broker/Dealer Fraud and Misrepresentation Attorney
2012-09-18: Michael Borish, Michael Ciarlone and Freedom Environmental Services, Inc. – Florida Investment and Securities Fraud and Misrepresentation Attorney
2012-09-18: Wisconsin Energy Corporation – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-18: William Sitz – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-18: Westpack Capital, Inc. and William A. Morgan – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-17: Revere Securities Corp. – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-17: E Trade Securities, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
2012-09-17: Bert Reames Investments – State of Florida, Division of Financial Regulation Enforcement Action
2012-09-15: Cantone Research, Inc. (Tinton Falls, New Jersey) and Christine L. Cantone (Registered Principal, Thompson PA) – Florida FINRA Arbitration Attorney
2012-09-14: SEC Administrative Action Against NYSE
2012-09-14: Joseph M. Braas, Michael J. Schlager – South Florida Investment and Securities Fraud Attorney
2012-09-14: Deer Hill Financial Group and Stephen B. Blankenship – Florida Investment Theft and Conversion Attorney
2012-09-10: JP Turner & Company, William Mello and Michael Bresner – South Florida Churning and Investment Fraud Attorney
2012-09-08: Transfer Agents – Florida Securities Attorney
2012-09-08: Nikolai Battoo, Tracy Lee Sunderlage, BC Capital Group, S.A. and BC Capital Group Limited – Florida Securities and Investment Fraud Attorney
2012-09-08: Direct Registration – Securities Ownership – South Florida FINRA Arbitration and Securities Litigation Attorney
2012-09-08: Street Name Registration – Securities Ownership – Florida Securities and Investment Fraud Attorney
2012-09-08: Plysical Certificates – Securities Ownership – South Florida Securities and Investment Fraud Attorney
2012-09-08: Securities Registration – South Florida Investment Fraud and Mismanagement Attorney
2012-09-07: MSRB Spotlights 529 College Savings Plan Information
2012-09-07: Western Financial Planning Corporation and Louis v. Schooler – South Florida Real Estate Investment Fraud Attorney
2012-09-07: Focus Point Solutions and The H Group – Investment Advisor Fraud and Breach of Fiduciary Duty Florida Attorney
2012-09-07: Renee White Fraser and Fraser Communications – Florida Investment Fraud and Mismanagement Attorney
2012-09-05: Ray Lucia, Sr. (Buckets of Money) – South Florida Investment Fraud and Mismanagement Attorney
2012-09-05: Commodities Online LLC, Commodities Online Management LLC, James C. Howard III, Louis N. Gallo III and Michael R. Casey – Florida Ponzi Scheme, Investment and Securities Fraud Attorney
2012-08-30: Proposed Rules Relating to the Implementation of JOBS Act and Private Placement General Solicitation and Advertising Issues
2012-08-30: Fabrizio Neves and Jose Luna – Excessive Markups Fruad, Negligence and Breach of Fudiciary Duty South Florida Attorney
2012-08-29: Wwebnet, Inc. and Robert L. Kelly – Penny Stock Fraud and Misrepresentation South Florida Attorney
2012-08-29: Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified As Industry Members under the By-Laws
2012-08-29: Eric Martin Insider Trading – Investment and Securities Fraud Florida Attorney
2012-08-28: Gary P. Marks – Florida Hedge Fund Fruad and Misrepresentation Attorney, Russell Forkey
2012-08-28: Jeffrey L. Mowen – South Florida – Ponzi Scheme Fraud and Misrepresentation Attorney
2012-08-23: Edward Bronson and E-Lionheart Associates, LLC – Penny Stock Scheme South Florida Fraud and Misrepresentation Attorney
2012-08-22: Ricardo Bonilla Rojas and Shadal Yire – Ponzi Scheme Florida Fraud and Misrepresentation Attorney
2012-08-18: Thomas D. Coldicutt, Jr., Elizabeth L. Coldicutt, Robert C. Weaver, Jr., Christopher C. Greenwood, Linda S. Farrell and Susana Gomez – Securities and Investment Florida Fraud and Misrepresentation Attorney
2012-08-18: Asset Backed Commercial Paper and Collateralized Debt Obligations – Florida Broker Fraud and Misrepresentation Attorney
2012-08-18: Jim Donnan, Gregory Crabtree and GLC Limited – Ponzi Scheme Boca Raton, Florida Fraud and Misrepresentation Attorney
2012-08-18: James V. Mazzo, David L. Parker and Eddie C. Murray
2012-08-18: Paul Burks and Rex Venture Group – Investment Contract Florida Fraud and Misrepresentation Attorney
2012-08-16: Vera Malakhova – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-16: The Mcenerny Group, LLC., Financial Guidance for Municipal Workers, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-16: Morgan Asset Management, Morgan Keegan & Company, Inc. and James C. Kelsoe, Jr. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-16: David Klein – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-16: Clayton Roach – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-16: Akro Advisors, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-15: Bridge Premium Finance LLC., Michael Turnock and William Sullivan – Central Florida Promissory Note Ponzi Scheme Investment Fraud Attorney
2012-08-14: Avanti Capital Partners, LLC., Highland Residential, LLC. and Ivan Wade Brown – South Florida Investment Fraud Attorney
2012-08-12: Endre, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Yackman Fund, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: RSF Social Investment Fund – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Northeast Investors Growth Fund – State of Florida Department of Financial Regulation Enforcement Action
2012-08-12: Remington Financial Services, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Westpark Capital, Inc. and William Morgan – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Highwater Ethanol, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Highland Financial Group, LLC. and James Riggio – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Active Investment Management, LLC and Tripp C. Hale – State of Florida, Department of Financial Regulation Enforcement Action
2012-08-12: Advisors Capital Investments, Inc. – State of Florida Department of Financial Regulation Enforcement Action
2012-08-11: Boiler Room Fraud and Misrepresentation Florida Litigation Attorney
2012-08-11: Investment and Securities Fraud and Mismanagement Boca Raton, Florida Litigation Attorney
2012-08-10: Florida Securities and Investment Fraud and Litigation Attorney
2012-08-10: Investment and Securities Fraud and Misrepresentation Florida Litigation Attorney
2012-08-09: Securities and Investment Fraud and Mismanagement – South Florida FINRA and Litigation Attorney
2012-08-09: International Investing – Florida Fraud, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-08-08: Real Estate Investment Fraud and Misrepresentation Litigation Attorney
2012-08-07: South Florida Securities Fraud and Mismangement Attorney – Section 10(b) Securities Exchange Act
2012-08-06: Unregistered Sale of Securities – Florida Securities Law Fraud Attorney
2012-08-03: Penny Stock Fraud and Misrepresentation Florida Litigation and FINRA Arbitration Attorney
2012-08-02: Securities Fraud and Insider Trading – Florida Securities Fraud Litigation and FINRA Arbitration Attorney
2012-08-01: Risks Associated With Municipal Bond – Municipal Securities Dealers – Fraud, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-08-01: Municipal Bonds – What Are They? Broker/Dealer Fraud, Misrepresentation and Mismanagement Florida FINRA Arbitration and Litigation Attorney
2012-07-31: Mutual Fund Fees – Broward County, Florida FINRA Arbitration and Litigation Attorney
2012-07-31: How to Buy and Sell Mutual Funds – Palm Beach County, Florida FINRA Arbitration and Litigation Attorney
2012-07-31: Benefits and Risks of Mutual Funds – Florida FINRA Arbitration and Litigation Attorney
2012-07-31: Oil and Gas Fraud and Misrepresentation Florida Litigation and FINRA Arbitration Attorney
2012-07-30: Hedge Fund and Broker Dealer Fraud and Misrepresentation Florida FINRA Arbitration and Litigation Attorney
2012-07-30: Ponzi Scheme Broker/Dealer Fraud and Misrepresentation Florida FINRA Arbitration and Litigation Attorney
2012-07-29: Mutual Fund Types – South Florida Broker/Dealer Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-07-29: Mutual Funds – Why Do People Buy Them? Florida Broker Misconduct FINRA Arbitration Attorney
2012-07-28: State of Flordia, Department of Financial Regulation Enforcement Action
2012-07-28: State of Florida Department of Financial Regulation Enforcement Action
2012-07-27: Certified Public Accountant Negligence and Breach of Contract South Florida Litigation and Arbitration Attorney
2012-07-26: Investment Fraud and Mismanagement Boca Raton, Florida FINRA Arbitration and Litigation Attorney
2012-07-26: Penny Stock and Investment Fraud and Misrepresentation Boca Raton, Florida Litigation and FINRA Arbitration Attorney
2012-07-25: Penny Stock Fraud and Manipulation Boca Raton, Florida Litigation and FINRA Arbitration Attorney
2012-07-25: State of Florida, Department of Financial Regulation Enforcement Action – Highland Financial Group, Inc. and James C. Riggio
2012-07-25: State of Florida, Department of Financial Regulation Enforcement Action – Charles Schwab & Co., Inc.
2012-07-25: State of Florida, Department of Financial Regulation Enforcement Action – Financial Advisors.com, Inc.
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action – Standfast Asset Management, LLC.
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action – James Joseph Evers d/b/a United Portfolio Management, Inc.
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action – Comprehensive Financial, LLC.
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action – Queen Shoals II and Slect Fund, LLC.
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action – Seacoast Investor Services, Inc., Paul Elvidge and Paul Elvidge, Sr.
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action – Bryce R. Kenny
2012-07-24: State of Florida, Department of Financial Regulation Enforcement Action
2012-07-23: Penny Stock Fraud and Misrepresentation Florida FINRA Arbitration and Litigation Attorney
2012-07-23: State of Florida, Department of Financial Regulation Enforcement Action – Jotkoff Financial Services, Inc.
2012-07-23: State of Florida, Department of Financial Regulation Enforcement Action – James Arthur Ponder
2012-07-23: State of Florida, Department of Financial Regulation Enforcement Action – Conway Morgan, Inc.
2012-07-23: State of Florida, Department of Financial Regulation Enforcement Action – Pointe Atlantic, Inc., Aspen Capital Partners, LLC. and Peter Martin Peterson
2012-07-23: State of Florida Regulatory Actions – Charles Evan Roberts and Greg Farris Roberts
2012-07-22: Broker/Dealer Securities Fraud, Mismanagement, and Negligent Supervision FINRA Arbitration and Litigation Attorney
2012-07-22: Firm Commitment – Best Effort Offerings: South Florida Securities and Investment Fraud and Mismanagement Attorney
2012-07-22: Financial Planner Fraud, Negligence and Breach of Fiduciary Litigation and FINRA Arbitration Attorney
2012-07-20: Tampa, Florida Stock Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2012-07-20: Ponzi Scheme and Penny Stock Fraud and Misrepresentation Florida Litigation and FINRA Arbitration Lawyer
2012-07-18: Options and Short Selling Fraud and Misrepresentation Florida FINRA Arbitration and Litigation Attorney
2012-07-18: Securities Rating’s Fraud Florida Litigation and FINRA Arbitration Attorney
2012-07-18: MSRB Guidance to Underwriters – Boca Raton, Florida Municipal Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-07-18: Financial Statements Required by Florida Law – Florida Business Fraud and Negligence Litigation Attorney
2012-07-17: Option Suitability Palm Beach County, Florida FINRA Arbitration and Litigation Attorney
2012-07-17: Failure to Disclose Central Florida FINRA Arbitration and Litigation Attorney
2012-07-17: Investment Fraud and Theft – Florida Litigation and Arbitration Lawyer
2012-07-06: Synergy Investment Group (CRD# 46035, Charlotte, North Carolina), Thurman Ray Crawford (CRD# 56786, Registered Principal, Beaumont, Texas) and Jeffrey Dean Jones (CRD# 4188324, Registered Principal, Concord, North Carolina)
2012-07-06: Finance 500, Inc. (CRD# 12981, Irvine California), Paul John Savage (CRD# 1722830, Registered Representative, Coto De Caza, California) and Thomas John Harm (CRD# 2093335, Registered Representative, Ladera Ranch, California)
2012-07-06: Scottsdale Capital Advisors Corp (CRD #118786, Scottsdale, Arizona) and Justine Hurry (CRD #2765969, Registered Principal, Paradise Valley, Arizona)
2012-07-06: Robert John Clark (CRD# 47828, Vista, California)
2012-07-06: Daniel Bull (CRD# 5495145, Registered Represented, Pittsbury, Pennsylvania)
2012-07-06: Kevin Seth Baltimore (CRD# 1863517, Registered Principal, Charleston, South Carolina)
2012-07-06: Gregory Allan Baldwin (CRD# 1856003, Registered Principal, Hendersonville, North Carolina)
2012-07-06: TradeStation Securities, Inc. (CRD# 39473, Plantation, Florida)
2012-07-06: Royal Alliance Associates, Inc. (CRD# 23131, New York, New York)
2012-07-06: Merriman Capital, Inc. (CRD# 18296, San Francisco, California)
2012-07-06: J.P. Morgan Securities, LLC. (CRD# 79, New York, New York)
2012-07-06: The Carson Medlin Company (CRD# 28567, Tampa, Florida)
2012-07-06: Bulltick Securities, LLC. (CRD# 132092, Miami, Florida)
2012-07-06: Most Recent FINRA Enforcement Actions
2012-07-06: Lorenzo Fiol Jr. (CRD #2454926, Registered Principal, Morton Grove, Illinois)
2012-07-06: Tyge Thomas Tuccillo (CRD #3075541, Registered Representative, Tulsa Oklahoma)
2012-07-06: William Slay Stevens (CRD #2889238, Registered Representative, Montgomery, Alabama)
2012-07-06: Elva Luz Solis (CRD #5527297, Registered Representative, Dodge City, Kansas)
2012-07-06: Joseph James Sciarra Jr. (CRD #1576322, Registered Principal, Wellington, Florida)
2012-07-06: Ronnie Charles Saliba (CRD #2625194 Registered Supervisor, Old Westbury, New York)
2012-07-06: Charles Bacon Rowley, III (CRD# 842096 Registered Principal) Waltham, Massachusetts
2012-07-06: Ronald Sherman Ross, Jr. (CRD# 2796527, Registered Representative) Janesville, Wisconsin
2012-07-06: Timothy Roberts Redpath (CRD #728164, Registered Principal) Sausalito, California
2012-07-06: Robert Allen Pierce,(CRD #363323, Registered Principal) Battle Ground, Washington
2012-07-06: Peter Martin Peterson (CRD #2825535, Registered Principal, Tampa Florida)
2012-07-06: Jonathan Clark Peterson (CRD #4199364, Registered Representative, Alpine, Utah)
2012-07-06: Jan D. Narrine (CRD #5738183, Associated Person, Winter Garden, Florida)
2012-07-06: Susan Lynn Morris (CRD #1072185, Registered Principal, Wylie, Texas)
2012-07-06: Theora McMillan (CRD #5779512, Associated Person, Apex, North Carolina)
2012-07-06: Michael Adam Lichtenstein (CRD #2439244, Registered Representative, Boca Raton, Florida)
2012-07-06: Bruce Benjamin Katz (CRD #1234370, Registered Representative, Melville, New York)
2012-07-06: Andrew Vincent Kardish II (CRD #2893973, Registered Supervisor, San Juan Capistrano, California)
2012-07-06: Dennis Stanley Kaminski (CRD #1013459, Registered Principal, Wellington, Florida)
2012-07-06: Stephen Johnathan Hoshimi (CRD #1977772, Registered Principal, Pacific Palisades, Californai)
2012-07-06: Stephen Elliot Hill (CRD #2202940, Registered Representative, Upper Saddle River, New Jersey)
2012-07-06: Roger William Hayes (CRD #240582, Registered Representative, Vergennes, Vermont)
2012-07-06: James Clement Hanrahan (CRD #5487504, Registered Representative, Alpharetta, Georgia)
2012-07-06: Henry Horace Godbee IV aka Chad Godbee (CRD #4536422, Registered Representative, North Little Rock, Arkansas)
2012-07-06: Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)
2012-07-06: Richard Henry Elizondo (CRD #2953315, Registered Representative, Harlingen, Texas)
2012-07-06: Matthew Morgan Dooley (CRD #2507851, Registered Representative, Mill Valley,California)
2012-07-06: Thomas Thanh Doan (CRD #4511950, Registered Representative, Honolulu, Hawaii)
2012-07-06: Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida)
2012-07-06: Rod R. Cushing (CRD #2479782, Registered Representative, Salt Lake City, Utah)
2012-07-06: Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, Florida)
2012-07-06: Michael William Bozora (CRD #28009, Registered Principal, Belvedere, California)
2012-07-06: Toni Leynett Bowen (CRD #4021430, Registered Representative, Lubbock, Texas)
2012-07-06: Phillip Peter Borup (CRD #4446376, Registered Principal, Cameron Park, California)
2012-07-06: Ricardo Blanco (CRD #1793188, Registered Representative, Key Biscayne, Florida)
2012-07-06: James Joseph Ahmann (CRD #2983399, Registered Representative, Bloomingdale, Illinois)
2012-07-06: Park Avenue Securities LLC (CRD #46173, New York, New York)
2012-07-06: Darrell Eugene Fox (CRD #1360248, Registered Representative, Lima, Ohio)
2012-07-06: Credit Suisse Securities (USA) LLC (CRD #816, New York, New York)
2012-07-06: Askar Corp. (CRD #7512, Bloomington, Minnesota)
2012-07-06: AOS, Inc. dba TradingBlock (CRD #128605, Chicago, Illinois)
2012-07-06: Hantz Financial Services, Inc. (CRD #46047, Southfield, Michigan) and Bruce FrederickColeman (CRD #50684, Registered Principal, Ann Arbor, Michigan)
2012-07-06: Valmark Securities, Inc. (CRD #31243, Akron, Ohio) and Richard Michael Arceci (CRD#1173612, Registered Principal, Sagamore Hills, Ohio)
2012-07-06: 2012 FINRA
2012-07-06: Joseph Alphonse Vitale (CRD #5223467, Registered Representative, Boca Raton, Florida)
2012-07-06: Evan Taber (CRD #1892751, Registered Representative, Plantation, Florida)
2012-07-06: Isaiah Solomon (CRD #1112800, Registered Representative, Mitchellville, Maryland)
2012-07-06: Michael Daniel Shaw (CRD #1571907, Registered Representative, Baton Rouge, Louisiana)
2012-07-06: David Alan Schams (CRD #1587140, Registered Representative, Alma, Wisconsin)
2012-07-06: Guy Eugene Richardson (CRD #2926034, Registered Representative, Topeka, Kansas)
2012-07-06: Thomas Heflin Redmond Jr. (CRD #4116004, Registered Representative, Carmel, Indiana)
2012-07-06: Steven Mark Peaslee (CRD #2285838, Registered Principal, Alexandria, Louisiana)
2012-07-06: Alan Stuart Pattee (CRD #3002976, Registered Representative, Lake Worth, Florida)
2012-07-06: Timothy Michael McGinn (CRD #813935, Registered Principal, Schenectady, New York) and David Lee Smith (CRD #427284, Registered Principal, Saratoga Springs, New York)
2012-07-06: Walter Louis Howerton (CRD #251564, Registered Principal, Modesto, California)
2012-07-06: Jason Sean Harrison (CRD #2628373, Registered Representative, Pearland, Texas)
2012-07-06: Alan David Goddard Jr. (CRD #3019681, Registered Representative, Boca Raton, Florida)
2012-07-06: Mike Givilancz Jr. (CRD #2141251, Registered Representative, Weslaco, Texas)
2012-07-06: Joseph John Giuliano (CRD #1411255, Registered Principal, Boca Raton, Florida)
2012-07-06: John Christopher Garner (CRD #2842338, Registered Representative, Charleston, West Virginia)
2012-07-06: David Leroy Carlson (CRD #1071647, Registered Representative, Simi Valley, California)
2012-07-06: William Alexis Cronin Jr. (CRD #872542, Registered Principal, Madison, Connecticut)
2012-07-06: Eric Lawrence Bloom (CRD #1742255, Registered Principal, Boca Raton, Florida)
2012-07-06: Carl Max Birkelbach (CRD #1177843, Registered Principal, Chicago, Illinois) and William James Murphy
2012-07-06: Xiomara Isabel Beach (CRD #5628107, Registered Representative, Long Beach, California)
2012-07-06: Amir Aqeel (CRD #5151040, Registered Representative, Tomrall, Texas)
2012-07-06: Wunderlich Securities, Inc. (CRD #2543, Memphis, Tennessee)
2012-07-06: Wells Fargo Advisors, LLC fka Wachovia Securities, Inc. (CRD #19616, St. Louis, Missouri)
2012-07-06: Internet Securities (CRD #102800, Oakland, California) and Michael Wayne Beardsley
2012-07-06: Institutional Capital Management, Inc. (CRD #41055, Houston, Texas) and Daniel Lee Ritz Jr.
2012-07-06: Dawson James Securities, Inc. (CRD® #130645, Boca Raton, Florida), Albert James Polliak and Douglas Fulton Kaiser
2012-07-06: FINRA Enforcement Actions – December, 2011
2012-07-06: Michael Jefferson Harper (CRD #4650612, Registered Principal, Coral Springs, Florida)
2012-07-06: Daniel Joseph Voccia II (CRD #2691802, Registered Principal, Calverton, New York)
2012-07-06: Paul Leon White II (CRD #4669396, Registered Representative, Huntington, New York)
2012-07-06: Dale David Twardowski (CRD #4056379, Registered Principal, Palm Harbor, Florida)
2012-07-06: Krittibas Ray (CRD #3039388, Registered Representative, Albany, California)
2012-07-06: Ralph Howly Phillips (CRD #2145356, Registered Principal, New Kensington, Pennsylvania)
2012-07-06: Jason Pedigo (CRD #4952772, Registered Representative, Little Rock, Arkansas)
2012-07-06: Mark Mather Mercier (CRD #1884246, Registered Principal, Lutz, Florida)
2012-07-06: Cheryl Ann McMahon (CRD #3009145, Registered Representative, Indianapolis, Indiana)
2012-07-06: John Michael Leonard (CRD #2254243, Registered Representative, Chicago, Illinois)
2012-07-06: Gary Harrison Lane (CRD #713745, Registered Representative, Reno, Nevada)
2012-07-06: Steven Krasner aka Steven Zarkhin (CRD #4541263, Registered Representative, Copiague Harbor, New York)
2012-07-06: Joel Arthur Hulke (CRD #2333013, Registered Representative, North Mankato, Minnesota)
2012-07-06: Edgar Rhodes Hauser Jr. (CRD #723243, Registered Representative, Livingston, Alabama)
2012-07-06: Tom Douglas Hamsher (CRD #1708793, Registered Supervisor, Webb City, Missouri)
2012-07-06: Frank A. Gutta aka Fazel A. Gutta (CRD #1705545, Registered Representative, Plantation, Florida)
2012-07-06: John William Grant (CRD #227512, Registered Principal, Escondido, California)
2012-07-06: Donald Anthony Duarte Jr. (CRD #2879683, Registered Representative, La Puente, California)
2012-07-06: Corey Vernon Darling (CRD #4005873, Registered Representative, Anacortes, Washington)
2012-07-06: Jaime Xavier Coronado (CRD #4001702, Registered Representative, Friendswood, Texas)
2012-07-06: Nathan Eugene Calhoun (CRD #716257, Registered Representative, Little Rock, Arkansas)
2012-07-06: Brian Wade Boppre (CRD #2778187, Registered Principal, Minot, North Dakota)
2012-07-06: Wells Investment Securities, Inc.
2012-07-06: Newbridge Securities Corporation (CRD #104065, Ft. Lauderdale, Florida)
2012-07-06: Lone Star Securities, Inc. (CRD #20452, Addison, Texas)
2012-07-06: Legent Clearing LLC, dba Legent Clearing (CRD #117176, Omaha, Nebraska)
2012-07-06: Euro Pacific Capital, Inc. (CRD #8361, Westport, Connecticut)
2012-07-06: CP Capital Securities, Inc. (CRD #15029, Miami, Florida)
2012-07-06: BGB Securities, Inc. (CRD #36716, Arlington, Virginia)
2012-07-06: Beta Capital Management, L.P. (CRD #38964, Miami, Florida)
2012-07-06: J.P. Turner & Company, LLC (CRD #43177, Atlanta, Georgia) and James Edward McGrath
2012-07-06: Brookstone Securities, Inc. (Lakeland, Florida), David William Locy
2012-07-06: FINRA Enforcement Actions – November, 2011
2012-07-06: Miguel Alex Rosas (CRD #5159207, Registered Representative, Naperville, Illinois)
2012-07-06: Ronald Marvin (CRD #722277, Registered Representative, Weston, Connecticut)
2012-07-06: David Angelo Maltese (CRD #2562471, Registered Representative, Boca Raton, Florida)
2012-07-06: William James Lasko (CRD #303150, Registered Principal, Carrollton, Texas)
2012-07-06: Jo Ann Marie Head (CRD #3009195, Registered Representative, Whittier, California)
2012-07-06: Patrick Francis Harte Jr. (CRD #1865650, Registered Principal, Plano, Texas)
2012-07-06: Lonnie Lee Dusenberry (CRD #3084887, Registered Representative, Elk Grove, California)
2012-07-06: Frank Bianculli (CRD #5452027, Registered Representative, Plainview, New York)
2012-07-06: Clyde Allen Benninghoff (CRD #18463, Registered Principal, Amelia Island, Florida)
2012-07-06: Woodbury Financial Services, Inc. (CRD #421, Oak Dale, Minnesota)
2012-07-06: TD Ameritrade, Inc. (CRD #7870, Bellevue, Nebraska)
2012-07-06: RBC Capital Markets, LLC (CRD #31194, New York, New York)
2012-07-06: Continental Investors Services, Inc. (CRD #29775, Longview, Washington)
2012-07-06: CBG Financial Group, Inc. (CRD #6578, Boca Raton, Florida)
2012-07-06: Carty & Company, Inc. (CRD #7001, Memphis, Tennessee)
2012-07-06: Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida)
2012-07-06: BATS Trading, Inc. (CRD #136734, Lenexa, Kansas)
2012-07-06: Tradespot Markets Inc. (CRD #29683, Davie, Florida) and Mark Bedros Beloyan
2012-07-06: FINRA Enforcement Actions – October, 2011
2012-07-06: Lazaro E. Salado (CRD #2899323, Registered Representative, Miami, Florida)
2012-07-06: John Thomas Pappas (CRD #4240283, Registered Representative, Helena, Alabama)
2012-07-06: Victoria Elizabeth McGee-Harris (Reg. Rep., St. Louis, Missouri)
2012-07-06: Charles William Kromer Jr. (CRD #1068867, Registered Representative, Cincinnati, Ohio)
2012-07-06: Jan David Henderson (CRD #2401845, Registered Representative, Midway, Utah)
2012-07-06: Larry Richard Gregory (CRD #2308559, Registered Representative, Norfolk, Virginia)
2012-07-06: Bradford Keith Dent (CRD #1588966, Registered Principal, Cordova, Tennessee)
2012-07-06: Matthew Crump (CRD #1924664, Registered Principal, Houston, Texas)
2012-07-06: Timothy Charles Cross (CRD #1452750, Registered Principal, Washougal, Washington)
2012-07-06: Ronald Dean Clark (CRD #1086724, Registered Representative, Tampa, Florida)
2012-07-06: Richard Byerly (CRD #848070, Reg. Rep, Chester Springs, PA)
2012-07-06: Vishal Birsingh (CRD #4420546, Registered Principal, New Hampton, New York)
2012-07-06: Scott J. Baklenko (CRD #4632949, Registered Representative, Seattle, Washington)
2012-07-06: Devin Raj Anand (CRD #5160369, Registered Representative, Calabasas, California)
2012-07-06: Veritrust Financial, LLC (CRD #106594, Austin, Texas)
2012-07-06: Fidelity Brokerage Services LLC (CRD #7784, Smithfield, Rhode Island)
2012-07-06: Thomas Michael Aretz (CRD #1083897, Registered Representative, Destin, Florida)
2012-07-06: Investors Capital Corp. (CRD #30613, Lynnfield, Massachusetts)
2012-07-06: iTRADEdirect.com Corp. (CRD® #18281, Boca Raton, Florida)
2012-07-06: FINRA Enforcement Actions – September, 2011
2012-07-06: Joseph James Sciarra (CRD #1576322, Registered Princiapal, Wellington, Florida)
2012-07-06: Evely de Jesus Vivenes de Villalon, Caracas Mirowda, Venezeula
2012-07-06: Cheryl Ann Villani (CRD #4662140, Registered Representative, Brookline, New Hampshire)
2012-07-06: Joseph Andrew Sugg II (CRD #5061692, Registered Representative, Flower Mound, Texas)
2012-07-06: Shane Anthony Sterling (CRD #4640502, Registered Representative, Pleasant Hill, Iowa)
2012-07-06: Alan English Smith (CRD #2201854, Registered Principal, Los Altos, California)
2012-07-06: Priscilla G. Sabado (CRD #4650234, Registered Representative, Irvine, California)
2012-07-06: Jose Salvador Rubio (CRD #1854133, Registered Representative, Miami, Florida)
2012-07-06: Jared Austin Poe (CRD #4884505, Registered Representative, Marina Del Rey, California)
2012-07-06: Leroy Henry Paris II (CRD #1130854, Registered Principal, Jackson, Mississippi)
2012-07-06: Faran S. Kassam (CRD #4816180, Foreign Associate, London, England)
2012-07-06: Richard Arnold Hansen (CRD #236308, Registered Principal, Villanova, Pennsylvania)
2012-07-06: Kirk Loring Gravelle (CRD #2580309, Registered Representative, Macclenny, Florida)
2012-07-06: Joshua Galiani, Registered Representative, Pelham Manor, New York
2012-07-06: Joshua Albert Galiani, Pelham Manor, New York
2012-07-06: James Patrick Cross (CRD #1946579, Registered Representative, Nossegem, Belgium)
2012-07-06: Martin Robert Coyne (CRD #2401192, Registered Representative, Pittsburgh, Pennsylvania)
2012-07-06: David Lee Cheviron (CRD #4031542, Registered Principal, Massillon, Ohio)
2012-07-06: Scott Thomas Brandt, Woodland Hills, California
2012-07-06: Deutsche Bank Securities Inc. New York and Adrienne Tubridy
2012-07-06: Bluechip Securities, Inc. Houston, Texas and Muhammad Akram
2012-07-06: FINRA Enforcement Actions – August, 2011
2012-07-06: Jose Luis Vinas (CRD #4014454, Registered Representative, Houston, Texas)
2012-07-06: Al Joseph Romani (CRD #5000071, Registered Principal, Apopka, Florida)
2012-07-06: Sammy Gail Page (CRD #1640203, Registered Representative, Spurger, Texas)
2012-07-06: David Allen Naefke, Registered Representative, Palm Beach Gardens, Florida
2012-07-06: John Francis Means (CRD #2263604, Registered Representative, Lutherville, Maryland)
2012-07-06: Ryan Jeffrey Kirkpatrick (CRD #4459488, Registered Representative, Granbury, Texas)
2012-07-06: Thomas Michael Kinser (CRD #1435579, Registered Representative, Southlake, Texas)
2012-07-06: Patrick Shawn Kennedy (CRD #3005062, Registered Supervisor, Raleigh, North Carolina)
2012-07-06: Bart Chad Christensen (CRD #2956167, Registered Representative, South Jordan, Utah)
2012-07-06: BGB Securities, Inc.
2012-07-06: Renee Marie Brown (CRD #3221618, Registered Principal, Golden Valley, Minnesota)
2012-07-06: Kiley Partners, Inc. (CRD #37814, Palm Beach Gardens, Florida)
2012-07-06: The GMS Group, LLC (CRD #8000, Livingston, New Jersey)
2012-07-06: Brookstone Securities, Inc. and David William Locy
2012-07-06: FINRA Enforcement Actions – July, 2011
2012-07-06: Robert Marcus Lane, Jr.
2012-07-06: Chenying Lee Williamson
2012-07-06: Michael Lewis Serota
2012-07-06: Jorge Ivan Salgado
2012-07-06: Matthew Mark Rairigh
2012-07-06: Thaddeus Newel
2012-07-06: Robert Joseph Oftring
2012-07-06: Kirk Kenneth Kepper, Registered Representative
2012-07-06: Jeremy Kelter Registered Representative
2012-07-06: Darren Joseph Dietrich, formerly licensed with Brookstone Securities, Inc.
2012-07-06: Michael Asher Dagnan formerly licensed with Woodbury Financial Services, Inc.
2012-07-06: Scott William Coy
2012-07-06: Uzo Omar Chima
2012-07-06: John Brady Benson Sr.
2012-07-06: Shanoa Adrianne Rose Akins
2012-07-06: New FINRA Data Base
2012-07-06: NFP Securities, Inc.
2012-07-06: Morgan Stanley & Co., Incorporated
2012-07-06: Morgan Stanley & Co. Incorporated nka Morgan Stanley & Co. LLC
2012-07-06: Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York)
2012-07-06: Monex Securities, Inc.
2012-07-06: Geoffrey Richards Securities Corp.
2012-07-06: Canaccord Genuity, Inc. f/k/a Canaccord Adams, Inc.
2012-07-06: Beta Capital Management, L.P.
2012-07-06: Amerprise Financial Services
2012-07-06: FINRA Enforcement Actions – June, 2011
2012-07-06: David Lerner & Associates FINRA Complaint
2012-07-06: David Lerner & Associates
2012-07-06: Andrew Joseph Longoria (CRD #2299271, Registered Representative, Hutto, Texas
2012-07-06: Evan Taber, Registered Representative, Plantation, Florida
2012-07-06: Timothy D. Camarillo (CRD #5205051, Registered Representative, San Antonio, Texas)
2012-07-06: Timothy D. Camarillo, Registered Representative, San Antonio, Texas
2012-07-06: Bryan Lee Addington, Registered Representative, Ethel, Louisiana
2012-07-06: Donald Barry Weidenfeld, Registered Principal, Del Ray Beach, Florida
2012-07-06: Nathan Mark Spiegel, Registered Representative, Ankeny, Iowa
2012-07-06: Ryan Seth Sackstein, Registered Representative, Hewlett, New York
2012-07-06: Jose Antonio Rivera, Registered Representative, Fort Myers, Florida
2012-07-06: Penena Karpel McRoberts, Registered Representative, Austin, Texas
2012-07-06: Devon Coulin McLean, Registered Representative, Homestead, Florida
2012-07-06: Marco Antonio Martin, Registered Representative, Toronto, Canada
2012-07-06: Cesar Madrigal, Registered Representative, Deer Park, Texas
2012-07-06: Michael Steven Jacobson, Registered Representative, Coral Springs, Florida
2012-07-06: William Thomas Hernandez, Reg. Rep., Louisville, Kentucky
2012-07-06: James Jerome Heffers Sr., Reg. Rep., Kingston, Pennsylvania
2012-07-06: Joshua Daniel Gould, Registered Representative, St. Louis, Missouri
2012-07-06: Christian Genitrini, Registered Representative, New York, New York
2012-07-06: John Matthew Dwyer III, Registered Representative, Atlanta, Georgia
2012-07-06: John Godfried Croes Jr., Registered Representative, Davie, Florida
2012-07-06: Robin Fran Bush, Registered Principal, Coral Springs, Florida
2012-07-06: Reba Rose Cope, Associated Person, Crossnore, North Carolina
2012-07-06: Charles Hyman Brown, Registered Principal, Coconut Creek, Florida
2012-07-06: Carl Henry Blanchard, Reg. Rep., West Roxbury, Mass.
2012-07-06: Steven John Argo, Registered Representative, Lockport, New York
2012-07-06: Scott Jeffrey Adler, Registered Representative, Sharon, Massachusetts
2012-07-06: Irving Louis Adler, Registered Representative, Braintree, Massachusetts
2012-07-06: UVEST Financial Services Group, Inc., Charlotte, North Carolina
2012-07-06: Newbridge Securities Corporation, Ft. Lauderdale, Florida
2012-07-06: FMSbonds, Inc. (CRD #7793, Boca Raton, Florida)
2012-07-06: FMSbonds, Inc., Boca Raton, Florida
2012-07-06: Brewer Financial Services, LLC, Chicago, Illinois
2012-07-06: FINRA Enforcement Actions – May, 2011
2012-07-06: Richard William Talley, Registered Principal, Las Vegas, Nevada)
2012-07-06: Alan Davidofsky, Registered Representative Delray Beach, Florida
2012-07-06: Felipe J. Lorie (CRD #1861011, Registered Representative, Coral Gables, Florida)
2012-07-06: Felipe J. Lorie, Registered Representative, Coral Gables, Florida
2012-07-06: iTRADEdirect.com Corp., Boca Raton, Florida
2012-07-06: Sanjeev Jayant Shah, Registered Representative, New York, New York
2012-07-06: DaLean Annette Rials, Registered Supervisor, Clearwater, Florida
2012-07-06: Brian Edwin Raines Registered Representative, Pickens, South Carolina
2012-07-06: Frank Anthony Perrotto Registered Representative, Janesville, Wisconsin
2012-07-06: Kevin Leslie Moyer, Registered Principal, Deland, Florida
2012-07-06: Richard Mark McKinnon (Registered Representative, Carmichael, California)
2012-07-06: George Henry Martin (Registered Principal, Sunny Isles Beach, Florida)
2012-07-06: Robert Keys
2012-07-06: Michael William Keleher
2012-07-06: Mark David Kaufman
2012-07-06: Gifford Keith Jordan
2012-07-06: Linda Louise Johnson
2012-07-06: Jennifer Guelinas
2012-07-06: Earnest Flowers III
2012-07-06: Charles Fiorucci
2012-07-06: Joey Wade Dean
2012-07-06: David Contreras
2012-07-06: David Conner
2012-07-06: Jeryl Clegg
2012-07-06: Thomas Anthony Chrestman
2012-07-06: Gary Chew
2012-07-06: Securities Corporation
2012-07-06: Woodrock Securities, L.P. (CRD #133653, Houston, Texas)
2012-07-06: Woodrock Securities, L.P.
2012-07-06: Purshe Kaplan Sterling Investments, Inc. (CRD #35747, Albany, New York)
2012-07-06: Purshe Kaplan Sterling Investments, Inc.
2012-07-06: Noble International Investments, Inc. (CRD #15768, Boca Raton, Florida)
2012-07-06: FINRA Enforcement Actions – April, 2011
2012-07-06: M. Paul De Vietien (CRD #1121492, Registered Representative, Tampa, Florida)
2012-07-06: John Brian Busacca III (CRD #2302780, Registered Principal, Orlando, Florida)
2012-07-06: Craig Michael Bettencourt, Registered Representative, Concord, Massachusetts
2012-07-06: FINRA Encorcement Actions – March, 2011
2012-07-06: Ronald George Spomer II (CRD #4210676, Registered Representative, Cody, Wyoming)
2012-07-06: Carlos C. Sarmiento Jr. (CRD #5003883, Registered Representative, San Antonio, Texas
2012-07-06: Louis Robert Porteous III, Registered Principal, South Freeport, Maine
2012-07-06: Harry Alexander Mullen Jr., Registered Representative, Marietta, Georgia
2012-07-06: Steven Louis Morewitz, Registered Rep., Newport News, Virginia
2012-07-06: Robert Charles Keane, Registered Principal, Cleveland, Ohio
2012-07-06: David Scott Isolano, Registered Principal, Lackawaxen, Pennsylvania
2012-07-06: David Jacob Herzog, Registered Representative, Houston, Texas
2012-07-06: Michael Douglas Hanke, Registered Representative, Tampa, Florida
2012-07-06: Douglas Christopher Green, Registered Principal, Lighthouse Point, Florida
2012-07-06: Kim Edward Elverud, Registered Principal, Bloomington, Minnesota
2012-07-06: Cynthia Ann Bulinski, Registered Representative, Annapolis, Maryland
2012-07-06: Gregory James Buchholz, Bridgewater, Connecticut
2012-07-06: Dennis O’Neal Blackstone, Registered Principal, Arlington, Texas
2012-07-06: Jason Leekarl Beckett, West Columbia, South Carolina
2012-07-06: Pinnacle Financial Group, LLC (CRD #131674, Orlando, Florida)
2012-07-06: LPL Financial Corporation, nka LPL Financial LLC, Boston, Massachusetts
2012-07-06: InterSecurities, Inc. nka Transamerica Financial Advisors, Inc.
2012-07-06: Couch Financial Services, Inc., CRD #130559, Dallas, Texas
2012-07-06: David Earl Tillson, Registered Principal, Carencro, Louisiana
2012-07-06: Evan Seth Rosenfeld, Registered Representative, Jericho, New York
2012-07-06: Ernest Evan Bridges, Sr. (CRD# 5643149, Cheltenham, Maryland)
2012-07-06: Cambridge Legacy Securities, L.L.C. and Tommy Edward
2012-07-06: Bathgate Capital Partners LLC nka GVC Capital LLC.
2012-07-06: Alonzo Levi Bethea (CRD# 2184794, Silver Springs, Maryland)
2012-07-06: FINRA Enforcement Actions – February, 2011
2012-07-06: Miguel Angel Murillo (Registered Representative, Bayshore, New York)
2012-07-06: Brian Reuben Mitchell (Registered Representative, Streetsboro, Ohio)
2012-07-06: Paul James Marshall (Registered Supervisor, Atlanta, Georgia)
2012-07-06: Hsin-Chuan Hsu aka Henry Hsu (Registered Representative, Marlboro, New Jersey)
2012-07-06: Richard A. Garaventa (Associated Person, Dannemora, New York)
2012-07-06: Brendan Walter Coughlin (Registered Principal, Dallas, Texas) and Henry Deimel Harrison (Registered Principal, Dallas, Texas)
2012-07-06: Raymond Thomas Blunk (Registered Representative, Carmel, Indiana)
2012-07-06: Daniel Edward Becerril II (Registered Representative, Huntington Beach, California, formerly licensed with Veritrust Finanical, LLC.)
2012-07-06: Mahmood Hasan Usmani, Associated Person, Bartlett, Tennessee
2012-07-06: Larrye Alfie Smith, Registered Principal, Miami, Florida
2012-07-06: Robert Charles Pollock, Registered Representative, Palm Harbor, Florida
2012-07-06: Michael Anthony Nemcik, Registered Representative, Tampa, Florida
2012-07-06: Claude Steven Mosley, Registered Rep., Myrtle Beach, South Carolina
2012-07-06: Antonio Herrero-Rovira, Registered Principal, Rio Piedras, Puerto Rico
2012-07-06: Chad R. Duncan, Registered Principal, Hermitage, Pennsylvania
2012-07-06: David William Dube, Registered Principal, St. Petersburg, Florida
2012-07-06: George Abbott Berry, Registered Representative, Tuscaloosa, Alabama
2012-07-06: Hernan Esteban Arbizu, Registered Representative, Fairfield, Connecticut
2012-07-06: TD Ameritrade, Inc., Bellevue, Nebraska
2012-07-06: Scottrade, Inc., St. Louis, Missouri
2012-07-06: Peraza Capital and Investment, LLC, St. Petersburg, Florida
2012-07-06: NEXT Financial Group, Inc., Houston, Texas
2012-07-06: Jupiter Distribution Partners, Inc., Greenacres, Florida
2012-07-06: Janney Montgomery Scott LLC (CRD #463, Philadelphia, Pennsylvania)
2012-07-06: Janney Montgomery Scott, LLC, Philadelphia, Pennsylvania
2012-07-06: First American Capital and Trading Corporation, Boca Raton, Florida
2012-07-06: Fidelity Brokerage Services LLC, Smithfield, Rhode Island
2012-07-06: Cohen & Company Securities, LLC, Philadelphia, Pennsylvania
2012-07-06: FINRA Enforcement Actions – January, 2011
2012-07-06: 2011 FINRA Enforcement Actions
2012-07-06: Tracy Marie Lamoreaux (CRD# 4578811, Registered Representative, Phoenix, Arizona)
2012-07-06: Jason Michael Mutascio (CRD# 4156832, Registered Representative, Adventura, Florida)
2012-07-06: David Gustav Much (CRD# 4095088, Registered Representative, Los Angeles, California)
2012-07-06: Mark Wayne Mills (CRD# 1277647, Registered Representative, Carmel Indiana)
2012-07-06: Bernard Robert Markowitz (CRD# 2414854, Registered Principal, Palm Harbor, Florida)
2012-07-06: Li Kopp a/k/a Sabrina Kopp, Li Guo and Sabrina Guo (CRD#5096198, Registered Representative, Beijing, China)
2012-07-06: Shawn Patrick Koerner (CRD# 2183243, Registered Representative, Wautoma, Wisconsin)
2012-07-06: Ronald Laverne Kersey (CRD# 2392393, Registered Representative, Lawrenceville, Georgia)
2012-07-06: Norman Lee Kearney, Jr. (CRD# 1665504, Registered Representative, Portland, Oregon)
2012-07-06: Yisrael Binyamin Goldstein (CRD# 2983230, Registered Principal, Spring Valley, New York)
2012-07-06: Tyler McKittrick Eddy (CRD #4148945, Registered Representative, New York, New York)
2012-07-06: Dante Thomas Garcia DeMiro (CRD #2674582, Registered Principal, Milford, Michigan)
2012-07-06: Robert Anthony Cataldo (CRD #1056971 Registered Representative, Lexington, Massachusetts)
2012-07-06: Global Strategic Investments, LLC (CRD #117028, Miami, Florida) and Cesar Gabriel Hernandez (Registered Principal, Miami, Florida)
2012-07-06: Fox Financial Management Corporation (CRD® #134277, Carrollton, Texas)
2012-07-06: FINRA Enforcement Actions – December, 2010
2012-07-06: Jessie Everett Airington (CRD #2097, Registered Principal, Dallas, Texas)
2012-07-06: TIAA-CREF Individual & Institutional Services, LLC (CRD #20472, NewYork, NewYork)
2012-07-06: Newbridge Securities Corporation (CRD #104065, Fort Lauderdale, Florida)
2012-07-06: J.J.B. Hilliard,W.L. Lyons, LLC (CRD #453, Louisville, Kentucky)
2012-07-06: AXA Advisors, LLC (CRD® #6627, NewYork, NewYork)
2012-07-06: FINRA Enforcement Actions – January, 2010
2012-07-06: 2010 FINRA Enforcement Actions
2012-07-06: FINRA Enforcement Actions
2012-07-06: Precious Metals Boiler Rooms – Precious Metals Fraud Attorney
2012-07-04: Investment Adviser – Fraud and Misrepresentation South Florida FINRA Arbitration and Litigation Attorney
2012-07-04: False and Misleading Statements – Fraud and Misrepresentation Florida FINRA Arbitration and Litigation Attorney
2012-07-01: Broker – Dealer Recommendations – Boca Raton, Florida Broker Misconduct, Negligence and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
2012-06-30: Basic Types of Stock Options – Broker Dealer and Investment Advisor Negligence and Misconduct FINRA Arbitration and Litigation Attorney
2012-06-30: Ponzi Scheme and Broker – Dealer Misconduct Florida FINRA Arbitration and Litigation Attorney
2012-06-29: Ponzi Scheme – South Florida Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2012-06-28: Ponzi Scheme – Florida Fraud and Mismanagement FINRA Arbitration and Litigation Attorney
2012-06-28: Option Terms – Fort Lauderdale, Florida Broker Misconduct and Negligence FINRA Arbitration and Litigation Lawyer
2012-06-27: Hedge Fund and Hedge Fund Advisor – Southeast Florida Fraud and Mismanagement FINRA Arbitration and Litigation Lawyer
2012-06-27: Investment Advisor Misconduct and Mismanagement – South Florida FINRA Arbitration and Litigation Attorney
2012-06-27: Active Brokerage Account / Broker – Dealer Mismanagement South Florida FINRA Arbitration Attorney
2012-06-26: Ponzi Scheme – Broward County, Florida Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney
2012-06-24: CPA or Accountant Opinion – South Florida Fraud and Misrepresentation Litigation Attorney
2012-06-24: Accidental Death Benefit – South Florida Insurance Fraud and Misrepresentation Attorney
2012-06-23: Penny Stock Fraud and Misrepresentation South Florida FINRA Arbitration and Litigation Attorney
2012-06-23: Types of Advanced Refunding – Boca Raton, Florida Fraud and Misrepresentation FINRA Arbitration
2012-06-23: Advance – Decline Ratio West Palm Beach, Florida FINRA Arbitration Attorney
2012-06-23: Adjustable Rate Preferred Stock – Boca Raton, Florida Securities Fraud and Mismanagement Attorney
2012-06-23: Tax-Exempt Security – Boca Raton, Florida Investment Fraud Attorney
2012-06-23: Tax Shelter – South Florida Attorney
2012-06-21: Fort Lauderdale and Boca Raton, Florida Municipal Securities Attorney
2012-06-21: Boca Raton, Florida Stock Fraud and Misrepresentation Attorney
2012-06-21: South Florida Broker – Dealer Fraud and Misrepresentation Attorney
2012-06-21: Gary J. Martel, Martel Financial Group and MFG Funding
2012-06-14: Ponzi Scheme – High Yield Promissory Notes
2012-06-10: Sophisticated Municipal Market Professional
2012-06-10: Quantek Asset Management, LLC.
2012-06-10: Jorge Gomez and Roberto Aleph Espinosa
2012-06-10: Henry Roche and New Futures Trading International Corporation
2012-06-10: Walter J. Clarke
2012-06-10: Chills and Freezes
2012-06-10: The Depository Trust Corporation
2012-06-06: South Florida – Penny Stock Fraud Hotbed
2012-06-06: Penny Stock Fraud, Kickback and Market Manipulation Schemes
2012-06-06: OppenheimerFunds FIned $35 Million
2012-06-03: SEC Proposals to Address Volatility in Individual Stocks and the Broader Stock Market
2012-06-03: George Levin and Frank Preve
2012-06-03: James B. Catledge and Derek F.C. Elliott
2012-06-03: Mark A. Lefkowitz, Compass Capital Group, Inc., Mark A Lopex, Unico, Inc., Steven R. Peacock, Shane H. Traveller and Advance Cell Technology, Inc.
2012-06-03: James Roland Dial, Evan Nicolas Jarvis and Alex W. Ellerman
2012-06-03: Steven Bethke – Transfer Agent Misappropriation
2012-06-03: SEC Charges Additional Defendants in Ponzi Scheme
2012-05-27: Nicholas Louis Geranto, Keith Michael Field, The Good One, Inc. and Kaleidoscope Real Estate, Inc.
2012-05-27: Robert W. Kwok and Reema D. Shah
2012-05-27: John A. Geringer and GLR Growth Fund
2012-05-27: Jason J. Konior and Absolute Fund LP
2012-05-25: Stephen H. Guth
2012-05-25: GLR Capital Management, LLC, GLR Advisors, LLC, Luck & Rode, LLC, et. al.
2012-05-25: Alert Regarding Proposed Rule Change Relating to Stop and Stop Limit Orders
2012-05-20: MSRB Announces New Protections for State and Local Governments that Issue Bonds
2012-05-20: Arnett L. Waters, A.L. Waters Capital, LLC and Moneta Management, LLC
2012-05-19: Nicholas Louis Geranio
2012-05-19: David M. Connolly and Connolly Properties, Inc.
2012-05-19: FINRA Proposed Rule Change Re Front Running of Block Transactions
2012-05-19: Mark F. Spangler and The Spangler Group, Inc.
2012-05-15: Proposed FINRA Rule Change Relating to Margin Requirements
2012-05-15: David Blech and Margaret Chassman
2012-05-15: Bobby V. Khan
2012-05-15: Martin Currie
2012-05-15: Philip Pritchard, Pietro Cimino and Global Development & Environmental Resources, Inc.
2012-05-05: Terry E. Wiese, Scott A. Wiese and Internet Protocol
2012-05-05: Leila C. Jenkins and Locke Capital Management, Inc.
2012-05-05: Michael J. McNerney
2012-05-05: RKC Capital Management, LLC, RKC Capital, LLC and Russell K. Cannon
2012-05-05: Cameron H. Linton, Christel S. Scucci, Karen S. Beach, Protege Enterprises, LLC and Capital Edge Enterprises, LLC.
2012-05-05: UBS Financial Services Inc. of Puerto Rico
2012-05-02: South Florida Stock Fraud Regarding Recycle Tech, HydroGenetics and Others
2012-04-29: Allen E. Weintraub and AWMS Acquisition, Inc.
2012-04-29: Option One Mortgage Corporation n/k/a Sand Canyon Corporation
2012-04-29: Matthew H. Kluger and Garrett D. Bauer
2012-04-29: Garth R. Peterson
2012-04-20: OX Trading, OptionsXpress and Thomas E. Stern
2012-04-20: MidSouth Capital, Inc. and Mark D. Hill
2012-04-18: Headwaters BD, LLC, Paul Edward Janson Roberta Ann Laraway and Philip Williams Seefried Jr.
2012-04-18: Cantone Research, Inc. and Christine L. Cantone
2012-04-18: Provident Capital Indemnity, Ltd., Minor Vargas Calvo, Jorge L. Castillo
2012-04-18: optionsXpress
2012-04-18: Petr Murmylyuk
2012-04-18: Ryan Reynolds, Timothy Page, Steven Fischer and Phillip W. Offill, Jr.
2012-04-18: John J. Todd
2012-04-18: Brian J. Smart
2012-04-18: Michael Anthony Gonzalez
2012-04-18: Don Watson, Edward W. O’Brien and Gary M. Opper
2012-04-13: Ephren Taylor II, City Capital Corporation and Wendy Connor
2012-04-13: Shervin Neman and Neman Financial, L.P.
2012-04-13: Most Recent State of Florida Enforcement Actions
2012-04-13: SEC Enforcement Actions – 2012
2012-04-13: SEC Enforcement Actions – 2011
2012-04-13: SEC Enforcement Actions – 2010
2012-04-12: Goldman, Sachs & Co.
2012-04-12: City Capital Corporation and Ephren W. Taylor
2012-04-12: David E. Howard II, Flatiron Capital Partners, LLC. and Flatiron Systems, LLC.
2012-04-11: AutoChina International Limited, et. al.
2012-04-11: Kenneth A. Dachman
2012-04-11: Diamondback Capital Managemnt, LLC.
2012-04-11: Robert Stinson, Jr.
2012-04-11: Variable Rate Municipal Securities
2012-04-10: James Li
2012-04-10: Benedict Van, hereUare and eCity
2012-04-10: Aragon Capital Advisors, LLC., Zvi Rosenthal, Amir Rosenthal, Ayal Rosenthal, and Oren Rosenthal
2012-04-08: Identity Theft (5)
2012-04-08: Identity Theft (4)
2012-04-08: Identity Theft (3)
2012-04-07: Identity Theft (2)
2012-04-07: Identity Theft
2012-04-07: David Lerner Associates, Inc. and William Mason
2012-04-06: How to Try and Invest Wisely
2012-04-06: How to Keep Track of Your Investments
2012-04-06: Kenneth E. Marsh, Baldwin Anderson, Robert Anthony Budion, Jeanne M. Lada and James T. Levier
2012-04-06: Grant M. Carroll
2012-04-06: Bryan N. Polozola, CPA
2012-04-06: Scott A. Wolf
2012-04-06: Alvin C. Ramsey
2012-04-06: Delilah A. Proctor
2012-04-06: Gaston E. Cantens and Tereita Cantens
2012-04-06: Peter Emrich, Frank Rossi and Dana Valensky
2012-04-06: George Elia and International Consultants & Investment Group, Ltd. Corp. and Relief Defendants, Elia Realty, Inc. and 212 Club Entertainment, Inc.
2012-04-06: Prestige Trade Investments, Ltd., Siming Yang, Caiyin Fan, Shui Chong (Eric Chang), Biao Chang, Jia Wu and Ming Ni
2012-04-02: Pentagon Capital Management PLC and Lewis Chester
2012-03-31: Ray Alexander Thompson
2012-03-31: Ralph Edward Thomas, Jr.
2012-03-31: Angel Luis Suarez
2012-03-31: Allan Anthony Scheer
2012-03-31: Ricard Patrick Sandru
2012-03-30: Quorne Limited and Michael Sarkesian
2012-03-29: J.P. Morgan Securities
2012-03-28: Sergio M. Ripamonti
2012-03-28: Leonel Ramirez
2012-03-28: Vicki Lee Perchinske
2012-03-28: Richard Anthony Neaton
2012-03-28: John R. Montague
2012-03-28: Matthew J. Gagnon
2012-03-28: David L. Marion and International Rarities Holding, Inc.
2012-03-28: John M. Cinderey
2012-03-26: Scott David Mason
2012-03-26: Bruce Libman
2012-03-26: Vladimir Khosid
2012-03-25: Erick Enrique Isaac
2012-03-25: Marsha Ann Hill
2012-03-25: Jacobo Gomez-Gutierrez
2012-03-24: Precious Metals Fraud Alert (Gold, Silver, Platinum and Palladium)
2012-03-24: Angus Jackson, Inc. and Martin H. Bedick
2012-03-24: Richard Allan Finger, Jr. and Black Diamond Futures, LLC.
2012-03-24: Abraham Gutterman, Alliance Capital Metals, LLC and AR Goldman Wealth Management, LLC
2012-03-23: Wells Fargo & Company
2012-03-23: Harry Friedman
2012-03-23: Jun Jennifer Feng
2012-03-22: Felix Elbert Deacon III
2012-03-22: Locust Offshore Management, LLC and Andrey C. Hicks
2012-03-22: Andrew Franz
2012-03-22: Why Seniors Are More Vulnerable Now as Targets for Financial Abuse
2012-03-22: MSRB to Begin Displaying Inter-Dealer Yield Data on its EMMA Website
2012-03-22: Ming Zhao and Liping Zhu
2012-03-21: Jason William Chicosky
2012-03-21: Mark Jason Carpenter
2012-03-21: Philip Mark Cain
2012-03-21: Beccah Leigh Boman
2012-03-21: Tammy Lyn Bohnert
2012-03-21: Francis Xavier Bice
2012-03-21: Robert Mark Benning
2012-03-20: RBC Capital Markets, LLC.
2012-03-20: Petersen Investments, Inc.
2012-03-20: Morgan Stanley & Co. LLC.
2012-03-20: Cadaret, Grant & Co., Inc.
2012-03-20: BOSC, Inc.
2012-03-20: Tradespot Markets Inc. f/k/a Beloyan Investment Securities, Inc. and Mark Bedros Beloyan
2012-03-20: United American Ventures, LLC., et al.
2012-03-20: William F. Duncan and John M. Williams
2012-03-20: John Jantzen and Marleen Jantzen
2012-03-20: SharesPost Inc. and Greg Brogger, Laurence Albukerk and EB Financial Group, LLC and Frank Mazzola, Felix Investment, LLC and Facie Libre Management Associates, LLC.
2012-03-20: Rajnish K. Das and Stormy L. Dean
2012-03-20: Prime Star Group, Inc.
2012-03-20: Timothy J. McGee, Michael W. Zirinsky, Robert Zirinsky, Paulo Lam and Marianna sze wan Ho
2012-03-19: Lanexa Management, LLC.
2012-03-19: Frank Mazzola, Felix Investments, LLC. and Facie Libre Management Associates, LLC.
2012-03-19: Brian Raymond Callahan, Horizon Global Advisors, Ltd., and Horizon Global Advisors, LLC.
2012-03-19: Stanley C. Brooks and Brookstreet Securities Corp.
2012-03-19: Mark A. Jackson and Thomas F. O’Rourke
2012-03-19: Neal R. Greenberg
2012-03-19: Larry Goldstone, Clarence Simmons and Jane Starrett
2012-03-17: Sherif Mityas
2012-03-17: James Michael Murray
2012-03-17: Noah J. Griggs, Jr.
2012-03-17: James T. Miceli and Douglas A. McClain, Jr.
2012-03-16: Stanley C. Brooks
2012-03-16: Alberto Perez
2012-03-13: Hotel Franchise Fraud
2012-03-10: Brokerage Firm – Investor Subordination Agreements
2012-03-09: How to Protect Yourself from Worthless Stock Scams
2012-03-09: Worthless Stock – How to Avoid Additional Losses
2012-03-09: Auction Rate Securities
2012-03-08: Municipal Securities – Understanding Credit Ratings
2012-03-07: MSRB PUBLISHES 2011 MUNICIPAL BOND FACT BOOK
2012-03-07: Municipal Securities Market Statistics
2012-03-05: Variable Rate Demand Obligations (Municipal Securities)
2012-03-05: MSRB Proposes Secondary Market Protection for Retail Customers
2012-03-04: Refunding or Refinancing of Existing Municipal Bonds
2012-03-04: What is an Official Statement and How Does It Protect You?
2012-03-01: Military Personnel – Targets of Investment and Other Types of Fraud
2012-03-01: Elder Abuse – What to Look For and How to Help
2012-02-29: Mobile-Friendly Version of EMMA Website
2012-02-29: MSRB EMMA Website Enhancements
2012-02-29: Identity Theft
2012-02-29: Howard Braff
2012-02-29: Robert S. Woodruff
2012-02-28: Professional Assistance in Helping Seniors Avoid Investment Fraud and Financial Exploitation!
2012-02-27: Jason Pflaum and Walter Shimoon
2012-02-24: Maureen Ann Burke (CRD# 1323987, Registered Representative, Chelsea Massachusetts)
2012-02-23: Jeremy Blackburn and Anthony Banas
2012-02-22: Steven L. Hamilton, Verde Retirement, LLC., Verde FX Nevada, LLC. and Covenant Capital Partners
2012-02-18: Pentagon Capital Management, PLC.. and Lewis Chester
2012-02-16: Venulum, Ltd., Venulum, Inc., and Giles Cadman
2012-02-16: Brenda A. Eschbach
2012-02-15: Prime Bank Note Fraud – Here is Another One
2012-02-15: Letter of Credit Fraud – Beware
2012-02-13: Douglas F. Whitman and Whitman Capital, LLC
2012-02-12: Internet Ordering – Tips on How to Avoid Fraud
2012-02-11: Health Care and Insurance Fraud – What Should You do!
2012-02-11: Robert C. Koeller
2012-02-10: Pawel P. Dynkowski
2012-02-09: Telemarketing Fraud – The Number 1 Fraudulent Activity Affecting Seniors
2012-02-08: Nigerian Letter or “419” – Tips on How to Avoid Them
2012-02-08: Reverse Mortgage Scams – Tips on How to Avoid Them
2012-02-06: Midwest Merger Management, LLC, Anthony Huff and Sheri Huff
2012-02-06: Kenneth Dachman and Stone Lion Management, Inc.
2012-02-05: Due Diligence (Researching Investments)
2012-02-05: Risk Tolerance – One of the first things that you need to consider before making an investment. This is especially true for seniors.
2012-02-03: The Florida Department of Insurance Announces Multi-Agency, Multi-Million Dollar Agreement With Prudential
2012-02-03: 1st Discount Brokers and Michael Fisher
2012-02-03: David Plate and Craig Drimal
2012-02-02: Robert Therrien
2012-02-02: Lloyd Barriger
2012-02-01: Kareem Serageldin and David Higgs
2012-02-01: SEC Enforcement Actions – January, 2012
2012-01-31: Christopher Vulliez and Amphor Advisors, LLC.
2012-01-31: Has Your Website or Email Come Under Third Party Attack?
2012-01-30: Robert Chiu a/k/a Chi Hung Chiu, James Li a/k/a Ching Hua Li, Thomas Chow a/k/a Man Kit Chow, Roger Kao a/k/a Chao Chun Kao, Christopher Liu a/k/a Chi Lei Liu and Wayne Pratt
2012-01-26: AFFINITY FRAUD – HOW TO STOP IT!
2012-01-26: Igors Nagaicevs
2012-01-26: First Resource Group LLC and David H. Stern
2012-01-23: MSRB Proposed Rule to Add Inter-Dealer Yield Data to EMMA
2012-01-23: Diamondback Capital Management LLC
2012-01-20: Spyridon Adondakis, Anthony Chiasson, Sandeep Goyal, Jon Horvath, Danny Kuo, Todd Newman, Jesse Tortora, Diamondback Capital Management, LLC, and Level Global Investors, L.P.,
2012-01-20: BURTON DOUGLAS MORRISS, ACARTHA GROUP, LLC, and MIC VII, LLC,
2012-01-20: BANKATLANTIC BANCORP., INC. AND ALAN LEVAN
2012-01-19: Foreign Investors – Tips on Protecting Yourself When Investing in U.S. Markets or Companies
2012-01-17: UBS Global Asset Management
2012-01-13: How do You Cope with the Guilt of Losing Money?
2012-01-11: Imperiali, Inc., Daniel Imperato, Charles Fiscina, and Lawrence O’Donnell
2012-01-11: Earl C. Arrowood and Parker H. “Pete” Petit
2012-01-11: Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings
2012-01-11: Tips investors should consider when using social media networks.
2012-01-10: Common Investment Scams Using Social Media and the Internet
2012-01-10: Social Media and the Fraudsters
2012-01-10: Todd Farha
2012-01-10: Fraud and Social Media – The Onslaught Begins
2012-01-07: The Ever Changing FINRA Enforcement Horizon #3
2012-01-07: The Ever Changing FINRA Enforcement Horizon #2
2012-01-07: The Ever Changing FINRA Enforcement Horizon
2012-01-04: Affinity Fraud – Church of Jesus Christ of Latter Day Saints
2012-01-04: SEC Enforcement Actions – December, 2011
2012-01-04: JBI, Inc., John Bordynuik and Ronald Baldwin, Jr.
2012-01-04: FINRA Fines Merrill Lynch $1 Million for Supervisory Failures That Allowed a Registered Representative to Operate a Ponzi Scheme
2012-01-03: William Echeverri
2012-01-03: Life Partners Holdings Inc.
2012-01-03: CHARLES A. AIKEN AND AIKEN CONTINENTAL, L.L.C.
2012-01-03: Chalmer E. Detling, II, Esq.
2012-01-03: Government Grant – Fraudsters
2011-12-31: Investing in REITS and Special Tax Considerations
2011-12-31: Non-Traded REITs – Some Factors To Consider!
2011-12-31: Publicly Traded REITs vs. Non-Traded REITs – Some Differences
2011-12-30: Fake TD Bank Website – Rothstein Fraud
2011-12-30: REITs – What are the Three Categories of REITs?
2011-12-30: REITs – What Qualifies a Company as a REIT?
2011-12-30: REITs – What Every Investor Should Know!
2011-12-29: Evolution Capital Advisors
2011-12-28: Pyramid and Multilevel Marketing Plans – Don’t Get Scammed
2011-12-27: Phishing – What is it? How to Protect Yourself.
2011-12-26: Do Statutes of Limitations Apply to Arbitration Disputes in Florida?
2011-12-24: Upfront Fees – Forget About It.
2011-12-24: Fake Check Scams – They Target Everyone, Including Me.
2011-12-24: Telemarketing Fraud and How to Spot It.
2011-12-23: Investment Placement Group, Adolfo Gonzalez-Rubio and Aurello Rodriguez
2011-12-23: GE Funding Capital Market Services
2011-12-22: Heart Tronics, Inc., et al.,
2011-12-22: Myron Weiner – Spongetech Delivery Systems
2011-12-20: SEC Charges Longtime Madoff Employee with Falsifying Documents to Deceive Regulators
2011-12-18: Investor Alert – Examples of Account Executive Prohibited Activities
2011-12-18: The Unbelievable Happens Again – Who Can You Trust
2011-12-15: Stanford Group Company – SEC Attempts to Force SIPC to Begin Liquidation Proceedings
2011-12-15: 2012
2011-12-14: Marcin Malarz (“Malarz”), Jacek Sienkiewicz (“Sienkiewicz”), and Arthur Lin (“Lin”)
2011-12-12: Joseph Meuse and Belmont Partners, LLC.
2011-12-12: Geoffrey J. Eiten and National Financial Communications Corp.
2011-12-11: SEC Enforcement Actions – November, 2011
2011-12-11: Should You Risk Your Home to Buy Securities or to Purchase Other Investments? South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
2011-12-11: Stock Based Loan Programs – Beware of the Risks vs. the Reward
2011-12-08: Wachovia Agrees to $148 Million Settlement With SEC and Other Authorities
2011-12-06: SEC HALTS PRIME BANK SCHEME OPERATED BY D.C. LAW FIRM AND PENNSYLVANIA COMPANY
2011-12-05: Michael R. Balboa and Gilles T. De Charsonville
2011-12-05: Richard Dalton and Universal Consulting Resources LLC, and Marie Dalton
2011-12-05: Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller
2011-12-05: CHINA VOICE HOLDING CORP. AND DAVID RONALD ALLEN
2011-12-01: Hedge Funds – Performance to Good to be True – Fraud Alert
2011-11-29: UBS Financial Services Inc. (CRD #8174, Weehawken, New Jersey)
2011-11-29: Atlantis Technology Group and Christopher Dubeau
2011-11-29: Jody Dunn – Charged by SEC with Investment Scheme Targeting Deaf Community
2011-11-24: Richard Wielenbeck – Foreign Exchange Market (FOREX)
2011-11-24: AXA Advisors LLC – Failure to Supervise
2011-11-24: LPL Financial LLC. Fined by the State of Oregon
2011-11-23: SEC Enforcement Actions – October, 2011
2011-11-23: Myron Weiner
2011-11-22: Garfield Taylor, Inc.
2011-11-22: Brian Hollnagel and BCI Aircraft leasing, Inc.
2011-11-22: Patrick G. Rooney and Solaris Management, LLC
2011-11-21: Madoff Fallout – David Kugel
2011-11-18: Senior Investors and Senior Designations – South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
2011-11-17: SEC Files Emergency Enforcement Action Targeting Investors Seeking Pre-IPO Shares
2011-11-17: Frank C. Calmes, Lynn D. Rowntree, James E. Pratt, and Manny J. Shulman
2011-11-15: Tyrone L. Gilliams and TL Gilliams, LLC
2011-11-13: Atlantis Technology Group and Christopher M. Dubeau
2011-11-13: James N. Fry, Michelle W. Palm, and Arrowhead Capital Management LLC
2011-11-13: SEC Enforcement Actions – September, 2011
2011-11-13: ThinkStrategy Capital Management, LLC and Chetan Kapur
2011-11-08: Stock Basics – Trading
2011-11-04: Securities and Exchange Commission v. Atlantis Technology Group and Christopher M. Dubeau, Civil Action No. 10-61824-CIV-ZLOCH (S.D. Fla.)
2011-11-03: Statute of Limitations – 2007 and 2008 Investment (Stock) Losses
2011-10-29: SEC Administrative Action Against FINRA
2011-10-26: Trading Seminar Fraud
2011-10-26: Imperia Invest IBC – Affinity Fraud (Deaf Investors)
2011-10-24: SEC Enforcement Actions – August, 2011
2011-10-24: Banco Espirito Santo S.A Charged with Securities Fraud
2011-10-20: Brokerage Firm Private Placements
2011-10-19: Citigroup to Pay $285 Million to Settle SEC Charges for Misleading Investors About CDO Tied to Housing Market
2011-10-19: Long Term-Short Term, Inc. and Freddie Rick
2011-10-19: Capital Financial Services, Inc. (CRD #8408, Minot, North Dakota)
2011-10-18: Gold Stock Scams – How to Spot Them
2011-10-17: SEC Enforcement Actions January – June, 2011
2011-10-17: Daniel W. Nodurft
2011-10-17: Beware of Small Independent Broker/Dealers
2011-10-15: Corporate Bankruptcy – General Investor Information
2011-10-14: SEC Enforcement Actions – July, 2011
2011-10-14: Joseph P. Cillo
2011-10-14: Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume
2011-10-14: Self-Directed IRAs and the Risk of Fraud
2011-10-13: Important Tips to Protect Your Retirement “Nest-Egg”
2011-10-13: Problem Broker – Dealers and Stock Brokers (Account Executives)
2011-10-13: EDGA Exchange Inc., EDGX Exchange Inc., and their affiliated routing broker Direct Edge ECN LLC
2011-10-12: Investment Scams and some Tips on how to Spot them – South Florida Securities and Investment Fraud and Misrepresentation Litigation and Arbitration Attorney
2011-10-12: Retirement Scams and How to Avoid Them!
2011-10-12: Pre-IPO Investing – What are some of the Risks?
2011-10-12: Subordination Agreements With Brokerage Firms
2011-09-28: Corey Ribotsky and The NIR Group LLC
2011-09-26: Welcome to our Florida securities, commodities, precious metals and commerical disputes and elder financial abuse law blog
2011-09-23: Barr M. Rosenberg
2011-09-08: SEC Files Subpoena Enforcement Action Against Deloitte & Touche in Shanghai
2011-09-03: National Stock Transfer, Inc., Kay Berenson-Galster and Roger Greer
2011-08-31: Anthony Scolaro
2011-08-29: James Davis Risher and Daniel Joseph Sebastian
2011-08-28: DAVID G. BROUWER
2011-07-14: Sam Otto Folin, Benchmark Asset Managers LLC, and Harvest Managers LLC
2011-07-14: Roman Lyniuk
2011-07-11: Windham Securities, Inc., Joshua Constantin and Brian Solomon
2011-07-10: Dair Ventures, Inc., Dev-Tech Corp (n/k/a Dev Sec, Inc.) Digital Products Corp., Dollar Time Group, Inc.
2011-06-30: Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc.
2011-06-30: Brian Gibson, Douglas Newton, Donald Klein and Thomas Schroepfer
2011-06-28: Michael E. Kelly, et. al.
2011-06-25: Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr. and Joseph Thompson Weller, CPA.
2011-06-03: Securities and Exchange Commission v. Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC
2011-05-04: 2011 Enforcement Actions
2011-05-04: State of Florida Enforcement Actions
2011-05-04: 2010 Enforcement Actions
2011-05-04: Most Recent SEC Enforcement Actions
2011-03-31: State Regulatory Enforcement Actions
2011-03-31: SEC Enforcement Actions
2011-02-27: Amish – Affinity Fraud
2011-01-28: Watch Out for Foreign Currency Trading Frauds – Florida Foreign Currency Contract Litigation and NFA Arbitration Attorney
2011-01-28: Stop Loss Orders – Good or Bad Idea? – Boca Raton, Florida FINRA Arbitration and Securities Litigation Attorney
2011-01-24: Former Chicago Hedge Manager Allegedly Swindled 48 Victims in Investment Fraud Scheme
2011-01-24: Florida Fraud – With an Unbelievable String of Events
2011-01-20: Prospective Athletes – Good News from the FINRA Foundation and the NFL
2011-01-19: Who Can You Trust? Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney
2011-01-18: Spam Issues of Importance to Seniors
2011-01-15: High Pressure Sales of Annuities to Seniors and Others – Florida Variable and Fixed Annuity Fraud, Misrepresentation and Twisting FINRA Arbitration and Litigation Attorney
2011-01-14: Reverse Mortgages – Boon or Boondoggle – Florida Elder, Senior and Retirement Abuse and Exploitation Litigation and Arbitration Attorney
2011-01-13: Proposed Amendment to FINRA Rule 5122 Relative to Broker/Dealer Participation in Private Placements
2011-01-13: Update on Unregistered “Cold Callers”
2011-01-12: Oil and Gas Fraud – Targeting Foreign Investors – Australia, England and Canada
2011-01-11: SEC Approves Consolidated FINRA Rules Governing Know-Your- Customer and Suitability Obligations
2011-01-11: FINRA Regulatory Action Against Charles Schwab Regarding YieldPlus – Fraud and Misrepresentation
2011-01-10: Securities America and Other Broker/Dealers (Placement Agents)
2011-01-07: Reverse Convertibles are having the Reverse Effect on Client Profitability – Boca Raton, Florida Arbitration and Litigation Attorney
2011-01-06: The Sisters of Charity – A Congregation of Elderly Nuns
2011-01-06: A Few Security and Non-Security Related Tips for Seniors to Protect Themselves and Their Money
2011-01-04: Quick Reminder of Broker/Dealer Prohibited Conduct – South Florida Elder Financial Abuse and Exploitation Litigation and Arbitration Attorney
2011-01-04: The Ponzi Victim Tax Break Bill Seems to be Dead for Now
2011-01-01: Cultural Affinity Fraud
2010-12-31: Promissory Note Fraud and Misrepresentation – Bullet Points – South Florida Promissory Note Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2010-12-31: Professional Athletes – Protect Your Assets
2010-12-31: Athletes Beware – The Ponzi Scheme
2010-12-31: What are Your Rights When You Receive a Cold Call – Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney
2010-12-31: Gold Coins – Reduce Your Chance of Getting Scammed
2010-12-30: Description of Some of the Major Market Indices by Which You Can Compare Your Account
2010-12-30: The New Investment Fraud Rage – Promissory Notes
2010-12-29: Protecting Senior Investors – Report For Financial Service Firms Issued by the SEC, NASAA and FINRA
2010-12-28: Elder and Senior Financial Abuse Attorney – Common Sense Tip for Seniors to Help Protect Your Nest egg
2010-12-28: Fake SEC?
2010-12-28: Is Your Financial Planner or Broker a Spy? Unbelievable
2010-12-27: Securities Fraud Notice for United Kingdom Investors – SEC Enforcement Action
2010-12-27: FAQ’s Relating to Life Settlements that Should be Considered by Not Only Seniors but All Investors
2010-12-27: Senior and Elder Abuse -Tackling Investment Swindles of Seniors as a Medical Problem – Florida Financial Elder Abuse Litigation and Arbitration Attorney
2010-12-27: Provident Royalities and the Brokers that Sold It
2010-12-27: Current Issues Relating to Municipal Bonds – South Florida Municipal and Corporate Bond Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney,
2010-12-26: U.S. Supreme Court Greatly Restricts Extraterritorial Application of Civil Securities Fraud Actions
2010-12-25: Affinity Fraud: Beware of Con-Artists Who Claim Loyalty to Your Group – South Florida Affinity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2010-12-25: HomePals Investment Club is a Recent Example of Securities Affinity Fraud – Targeting Haitian – Americans
2010-12-25: Goldline International – Beware the Goldline Customer Agreement
2010-12-24: Foreign Investors Limit Your Chance Of Getting Fleeced
2010-12-23: Goldline International Sued For Deceptive Sales Practices
2010-12-22: They Finally Got Caught – Florida Securities Fraud and Investment FINRA Arbitration and Litigation Attorney
2010-12-22: Superior Gold Group – Precious Metals Fraud and Misrepresentation Attorney
2010-12-21: Peer-to-Peer Lending – Florida Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney
2010-12-21: New York State Sues Ernst & Young Over Lehman Brothers Accounting Problems
2010-12-18: New York Life and MassMutual Sued Over Madoff Investments – Boca Raton, Florida FINRA Arbitration and Litigation Attorney
2010-12-18: Elder and Senior Investor Alert: Free Meal Seminars – Broker/Dealer Fraud, Mismanagement and Negligent Supervision Florida FINRA Arbitration and Litigation Attorney
2010-12-18: Beware of Bogus Senior Specialists – Boca Raton, Florida Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney
2010-12-18: On-line Brokerage Accounts – What You Can Do to Safeguard Your Money and Personal Information – Fort Lauderdale, Florida FINRA Arbitration and Litigation Attorney
2010-12-18: SEC Charges Three with Promoting and Selling Forex Offering
2010-12-18: Unscrupulous Hedge Fund Operators – Hedge Fund Fraud and Misrepresentation Florida Litigation and FINRA Arbitration Attorney
2010-12-18: Caution When Looking At Gold Investments – Florida Precious Metals Fraud and Misrepresentation Litigation Attorney
2010-12-17: North American Securities Administrators Association (NASAA) – Top 10 Investor Traps
2010-12-17: Bullion Trading Group and Christopher Kertator Accused of Fraud
2010-12-15: Seniors Beware: What you Should Know About Life Settlements – Florida Senior and Elder Financial Abuse Fraud, Misrepresentation and Breach of Fiduciary Duty Litigation and Arbitration Attorney
2010-12-12: Preventing Scams on Seniors Act – South Florida Elder, Senior and Retirement Financial Abuse and Exploitation Attorney
2010-12-08: FAQ’s – The Federal Securities Laws – South Florida Securities Litigation and FINRA Arbitration Lawyer
2010-12-08: FAQ’s – What Constitutes A Security? Florida Securities Fraud and Misrepresentation Litigation and Arbitration Attorney

Topics

2022 FINRA Enforcement Actions (1)
401(k) Plans (4)
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