Florida Broker/Dealer and Account Executive Negligent Supervision and Account Executive Financial Misappropriation, Unauthorized Loan and Elder Abuse FINRA Arbitration, Litigation and Probate Estate Attorney. The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and…
South Florida Broker/Dealer and Account Executive Negligent Supervision, Forgery and Unauthorized Activity FINRA Arbitration, Litigation and Probate Estate Attorney. The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account…
South Florida Oil and Gas Suitability, Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney. The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event…
Securities and Exchange Commission v. Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC, Civil Action No. 3:13-cv-00683 (W.D. Wisc.) Jeremy Fisher Indicted for Fraud The Securities and Exchange Commission recently announced today that on February 5, 2014, a Grand Jury in the United States…
South Florida Ponzi Scheme, Boiler Room and Movie Fraud and Misrepresentation Litigation and Arbitration Attorney: SEC Charges Three California Residents Behind Movie Investment Scam The Securities and Exchange Commission recently charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors…
Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients The Securities and Exchange Commission recently announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first…
Securities and Exchange Commission v. James Y. Lee, et al., Civil Action No. 3:14-cv-00347-LAB-BGS (S.D. Cal.) SEC Charges James Y. Lee for Defrauding His Advisory Clients On February 13, 2014, the Securities and Exchange Commission filed charges against James Y. Lee, a resident of La Jolla, California, alleging he defrauded…
South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects…
Oil and Gas Limited Partnerships and Oil and Gas Offering Fraud, Misrepresentation and Mismanagement – South Florida, including Fort Lauderdale, Pompano Beach, Deerfiled Beach, Boca Raton, Boynton Beach, Delray Beach, Lake Worth and West Palm Beach, Litigation and Arbitration Attorney An oil and gas limited partnership is legally set up…
Nonpublic Information Florida Securities and Investment Fraud, Misrepresentation and Omission FINRA Arbitration and Litigation Attorney: Nonpublic information is information about a company, either positive or negative, that will have a material effect on the stock or bond price when it is released to the public. Insiders, such as corporate officers,…