Articles Posted in Federal Litigation

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action…

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action…

Fort Lauderdale, Pompano Beach, Lighthouse Point, Deerfield Beach and Boca Raton, Florida Investment Newsletter Fraud and Misrepresentation Litigation and Arbitration Attorney: Investment newsletters come in many forms. They may be found online or in hard copy; they may be available for a fee or free of charge. Some newsletters address general securities topics, such as…

Equity Indexed Annuities – Boca Raton, Deerfield Beach, Lighthouse Point, Delray Beach and West Palm Beach, Florida Annuity Twisting and Fraud FINRA Arbitration and Litigation Attorney: An equity indexed annuity is a fixed annuity, either immediate or deferred, that earns interest or provides benefits that are linked to an external equity reference or an equity…

South Florida, including Fort Lauderdale, Pompano Beach, Margate, Lighthouse Point, Deerfield Beach and Boca Raton Charitable Gift Fraud and Misrepresentation and Elder Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Richard K. Olive and Susan L. Olive, Civil Action No. 2:13-civ-14047 (S.D. Fla.); Securities and Exchange Commission v. William G. Reeves, Esq., Civ.…

South Florida, including Boca Raton, Deerfield Beach, Coral Springs, Delray Beach and Boynton Beach Investment Fund Manager Fraud and Ponzi Scheme FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Neal V. Goyal, et al., Civil Action No. 1:14-cv-03900 (N.D. Illinois) SEC Charges Chicago-Based Investment Fund Manager with Stealing Investor Money and Conducting Ponzi…

Boca Raton, Delray Beach, Lantana, Lake Worth, West Palm Beach and Jupiter, Palm City and Stuart Florida Senior, Elder and Retirement Financial Abuse and Probate FINRA Arbitration and Litigation Attorney: FAQs – Annuity: An annuity is a contract in which an insurance company makes a series of income payments at regular intervals in return for…

Boca Raton, Fort Lauderdale and West Palm Beach, Florida Penny and Microcap Stock Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with…

Boca Raton, Boynton Beach, Delray Beach, West Palm Beach, Lantana, Florida Private Placment and Private Investment Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Gaeton S. Della Penna et al., Civil Action No. 8:14-CV-1203T30MAP The Securities and Exchange Commission recently filed charges against Gaeton “Guy” S. Della Penna of…

Hollywood, Davie and Fort Lauderdale Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney Securities and Exchange Commission v. Allen Ross Smith, Civil Action No. 1:14-cv-192 (D.N.H. May 2, 2014) SEC Charges Florida Lawyer in Connection with Multi-Million Dollar Prime Bank Scheme The Securities and Exchange Commission recently announced that it charged Florida…