Articles Posted in FINRA Arbitration

Boca Raton, Lantana, Lake Worth, Delray Beach and Boynton Beach, Florida High Yield Investment Scam Litigation and FINRA Arbitration Litigation Attorney: Securities and Exchange Commission v. Cheryl L. Robinson, Civil Action No. 2:14-cv-1036 (D. Nev. June 26, 2014) SEC Files Settled Charges Against Arizona Resident in Prime Bank Investment Scheme On June 26, 2014, the…

West Palm Beach, Lake Worth, Delray Beach, Boca Raton and Pompano Beach, Florida – Hedge Fund Fraud and Mismanagement FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Weston Capital Asset Management LLC, et al., Civil Action No. 14-cv-80823 (S.D. FL) The Securities and Exchange Commission recently filed a civil action in the United…

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…

South Florida, including Fort Lauderdale, Boynton Beach, West Palm Beach, Boca Raton and Deerfield Beach Ponzi Scheme and Securities Fraud FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Civil Action No. 13-CV-04464-RGK (JCGx) (C.D. Cal. June 20, 2013) Court Orders California Company and…

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…

FAQ’s that should be asked to your insurance agent, account executive or company prior to considering the purchase, exchange or sale of a deferred annuity. There are a series of basic questions that you should ask your agent or company when considering deferred annuities. This list is not designed to be complete in all material…

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…