Boca Raton, Delray Beach, Boynton Beach, Lake Worth and West Palm Beach, Florida Investment Advisor Securities and Bank Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Robert Glenn Bard, et al., Civil Action No. 1:09-cv-1473 (M.D. Pa.) Pennsylvania-Based Investment Adviser Charged in SEC and Criminal…
Boca Raton, Fort Lauderdale and West Palm Beach, Florida Elder and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney: Elder and retirees should think twice about investing if you spot any of these red flags of investment fraud: Limited history of posts. Fraudsters can set up new accounts specifically designed to…
South Palm Beach County, Florida Securities and Transfer Agent Fraud and Misrepresentation Litigation and Arbitration Attorney: Securities and Exchange Commission v. International Stock Transfer Inc and Cecil Frederick Speight, Civil Action No. 14-cv-4435 (ADS) (E.D.N.Y.) SEC Charges Florida-Based Transfer Agent and Owner with Scheming Investors The Securities and Exchange Commission…
Boca Raton, Westin, Coral Springs, Plantation, Davie and Fort Lauderdale, Florida Microcap and Penny Stock Fraud and Misrepresentation Litigation, Arbitration and Elder Abuse Attorney: Securities and Exchange Commission v. Christopher Plummer, Lex M. Cowsert, and CytoGenix, Inc., Civil Action No. 14-CV-5441 (LTS) The Securities and Exchange Commission recently charged a serial con…
Fort Lauderdale, Boca Raton, Delray Beach, Lantana, West Palm Beach and Stuart, Florida Microcap and Penny Stock Fraud and Misrepresentation Litigation, FINRA Arbitration and Elder Abuse Attorney: SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company The Securities and Exchange Commission recently announced fraud charges against four…
Miami, Hollywood, Dania, Fort Lauderdale, Pompano Beach and Lighthouse Point, Florida Prime Bank Investment and Program Trading Scheme Litigation, FINRA Arbitration and Elder Abuse Attorney: Securities and Exchange Commission v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner,…
Boca Raton, Lantana, Lake Worth, Delray Beach and Boynton Beach, Florida High Yield Investment Scam Litigation and FINRA Arbitration Litigation Attorney: Securities and Exchange Commission v. Cheryl L. Robinson, Civil Action No. 2:14-cv-1036 (D. Nev. June 26, 2014) SEC Files Settled Charges Against Arizona Resident in Prime Bank Investment Scheme…
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the…
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the…
South Florida, including Fort Lauderdale, Boynton Beach, West Palm Beach, Boca Raton and Deerfield Beach Ponzi Scheme and Securities Fraud FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Civil Action No. 13-CV-04464-RGK (JCGx) (C.D. Cal. June 20, 2013) Court…