Articles Posted in General Investment News

Oil and Gas Limited Partnerships and Oil and Gas Offering Fraud, Misrepresentation and Mismanagement – South Florida, including Fort Lauderdale, Pompano Beach, Deerfiled Beach, Boca Raton, Boynton Beach, Delray Beach, Lake Worth and West Palm Beach, Litigation and Arbitration Attorney An oil and gas limited partnership is legally set up using the same format as…

Nonpublic Information Florida Securities and Investment Fraud, Misrepresentation and Omission FINRA Arbitration and Litigation Attorney: Nonpublic information is information about a company, either positive or negative, that will have a material effect on the stock or bond price when it is released to the public. Insiders, such as corporate officers, members of the board of…

Illegal Short Selling – Florida Illegal Short Selling, Securities and Investment Fraud Litigation and Arbitration Attorney: Securities and Exchange Commission v. Revelation Capital Management Ltd. and Christopher P.C. Kuchanny, Civil Action No. 14-cv-0645 (S.D.N.Y., filed January 31, 2014) SEC Charges Bermudian Investment Adviser and Principal for Illegal Short Selling On January 31, 2013, the Securities…

South Florida Hedge Fund Mismanagement, Fraud and Breach of Fiduciary Duty Federal and State Court Litigation Attorney: Securities and Exchange Commission v. Berton M. Hochfeld, et al., Civil Action No. 12-CV-8202 (S.D.N.Y.) Final Judgments Entered Against Former Hedge Fund Manager and His Company The Securities and Exchange Commission recently announced that on January 22, 2014,…

Private Equity Fund and Private Equity Fund Management Mismanagement and Fruad – South Florida Federal and State Court Litigation and Arbitration Attorney: SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds: The Securities and Exchange Commission recently charged a Manhattan-based private equity manager and his firm with stealing $9 million from…

South Florida Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Palladino, et al., Civil Action No. 13-11024-DPW (United States District Court for the District of Massachusetts) Commonwealth of Massachusetts v. Palladino, Crim. Action Nos. 13-10207, 13-10891; Commonwealth of Massachusetts v. Viking Financial Group, Inc., Crim.…

Elder, Senior and Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney, Russell L. Forkey, Esq. Extent of Elder Abuse Victimization: We have been focusing recently or our website, www.forkeylaw.com and on this blog about various issues relating to elder, senior and retirement financial abuse and exploitation. This post is designed to provide…

Hybrid Senior, Elder and Retirement Financial Abuse and Exploitation Arbitration, Litigation and Probate Estate Attorney, Russell L. Forkey, Esq. Hybrid financial exploitation. It has been determined that a relatively unrecognized situation, referred to as hybrid financial exploitation, arises when financial exploitation co-occurs with physical abuse and/or neglect. These cases typically involve financially dependent family members,…

Unsuitable and Inappropriate Mutual Fund Switching – Stuart, Hope Sound, Jupiter, West Palm Beach, Lantana, Delray Beach, Lake Worth and Boca Raton, Florida FINRA Arbitration, Mediation and Litigation Attorney: Mutual Fund Switching: Mutual fund switching is the moving of assets from one mutual fund to another, either within the same fund family or between different…

South Florida Improper and/or Unsuitable Asset Allocation FINRA Arbitration, Federal and State Court Litigation Attorney: Asset Allocation – Asset Allociation involves dividing an investment portfolio among different asset categories, such as stocks, bonds, and cash. The process of determining which mix of assets to hold in your portfolio is a very personal one. The asset…