Articles Posted in FINRA Arbitration

South Florida Fraudulent Trading Program and Prime Bank Guarantee Litigation and Arbitration Attorney: Securities and Exchange Commission v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson, Civil Action No. 1:11-cv-11649 SEC Obtains Final Judgment Against Defendant in Fictitious Investment Scheme The Securities and Exchange Commission recently announced that on April…

South Florida Internet Ponzi Scheme and Securities Fraud and Misrepresentation FINRA Arbitration and Florida State and Federal Litigation Attorney: Securities and Exchange Commission v. Timothy J. Coughlin, et al., Civil Action No. 1:14-cv-00562-WTL-MJD (S.D. Ind.) SEC Charges Indiana Man for Defrauding Investors in “Credit Union” Ponzi Scheme Recently, the Securities and Exchange Commission filed an…

Florida Broker/Dealer and Investment Advisor Securities Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank The Securities and Exchange Commission recently announced another round of charges in its ongoing case against several individuals involved in a massive kickback…

South Florida, including Hollywood, Fort Lauderdale, Pompano Beach, Deerfield Beach, Boca Raton and Delray Beach, Florida Investment Advisor Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for…

South Florida, including Dade, Monroe, Broward and Palm Beach County, Florida Social Media and Hedge Fund Misrepresentation of Credentials and Trading Experience FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced fraud charges against a Honolulu woman posing as an investment banker and soliciting investors through Twitter, Facebook, and other social media.…

South Florida Broker/Dealer and Account Executive Elder, Senior and Retirement Financial Abuse and Exploitation, Negligent Supervision, Breach of Fiduciary and Theft FINRA Arbitration, Litigation and Probate Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and…

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary, Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the…

Florida Securities Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA…

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that…

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary and Forgery FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to…