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