Articles Posted in Fraud and Misrepresentation

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 Estate Attorney: Exchange-Traded Funds (ETFs): The solicitation of ETFs by brokerage firms and their account executives seeking to convince their clients to purchase and sell EFTs…

Florida Variable Annuity Fraud and Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney: SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill The Securities and Exchange Commission recently announced enforcement actions against a pair of brokers, an investment advisory…

South Florida Broker/Dealer and Account Executive Investment Club and Unapproved Outside Business and Negligent Supervision FINRA Arbitration, Litigation and Probate Estate 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.…

Florida Broker/Dealer and Account Executive Negligent Supervision and Account Executive Financial Misappropriation, Unauthorized Loan and Elder Abuse FINRA Arbitration, Litigation and Probate Estate 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…

South Florida Broker/Dealer and Account Executive Negligent Supervision, Forgery and Unauthorized Activity FINRA Arbitration, Litigation and Probate Estate 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…

South Florida Oil and Gas Suitability, Fraud and Misrepresentation 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 institute…

Securities and Exchange Commission v. Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC, Civil Action No. 3:13-cv-00683 (W.D. Wisc.) Jeremy Fisher Indicted for Fraud The Securities and Exchange Commission recently announced today that on February 5, 2014, a Grand Jury in the United States District Court for the Middle…

Irving Marvin Burstein – South Florida Broker/Dealer and Account Executive Negligent Supervision FINRA Arbitration, Litigation and Probate Estate 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…

South Florida Ponzi Scheme, Boiler Room and Movie Fraud and Misrepresentation Litigation and Arbitration Attorney: SEC Charges Three California Residents Behind Movie Investment Scam The Securities and Exchange Commission recently charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors and generate exorbitant investment returns.…

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients The Securities and Exchange Commission recently announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC. Credit…