Articles Posted in Broker/Dealer

Securities and Exchange Commission v. Charles J. Dushek, et al., Civil Action No. 13-cv-3669 (N.D. Ill., filed May 16, 2013) SEC Charges Chicago-Area Father and Son Conducting Cherry-Picking Scheme At Investment Firm The Securities and Exchange Commission (“Commission”) filed a civil injunctive complaint on May 16, 2013, in the United States District Court for the…

Investment Strategy – Florida Common Stock and Bond FINRA Arbitration and Litigation Attorney: An “Investment Strategy” is nothing more than a plan to allocate assets among various investment classes such as stocks, bonds, cash or cash equivalents, commodities and real estate. An investment strategy should be based on an investor’s outlook on such things as…

Securities and Exchange Commission Charges Traders in Massive Kickback Scheme Involving Venezuelan Official The Securities and Exchange Commission (Commission) recently charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes paid to a high-ranking Venezuelan finance official to secure the bond trading business…

Securities and Exchange Commission v. Jeffrey Stebbins and Corbin Jones, Civil Action No. CV 13-755-PHX-SRB SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture The Securities and Exchange Commission recently filed a complaint in the United States District Court for the District of Arizona, charging two former brokers in Arizona with…

Securities and Exchange Commission v. Joshua Constantin, Brian Solomon, and Windham Securities, Inc. and Relief Defendants Constantin Resource Group, Inc. and Domestic Applications Corp.,, Civil Action No. 1:11-cv-4642 (MHD) (filed July 6, 2011) Court Finds Brokerage Firm and Two Former Executives Liable for Over $2.74 Million in a Fraudulent Misappropriation Case The Securities and Exchange…

Hedge Fund Capital Partners, LLC. and Howard Gordon Jahre, Registered Principal, New York, New York: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to…

Genesis Securities, LLC. (New York, New York) and William Chingwen Yeh, Registered Principal, Oyster Bay, New York: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA…

Securities and Exchange Commission v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo, Civil Action No. 13 Civ.…

James Stuart Nesbit – Registered Representative, Virginia Beach, Virginia: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and…

Rita Elizabeth Murray – Registered Representative, Larchmont, New York: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and…