Articles Posted in Investor Alerts

Offer and sale of securities sold in violation of the registration provisions of Section 5 of the Securities Act of 1933 – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney: Securities and Exchange Commission v. Dawn Wright-Olivares and Daniel Olivares, Civil Action No. 3:13-CV-700 SEC Charges Woman and Stepson for Involvment in Zeekrewards…

Florida Boiler Room, Penny Stock (Low Priced) and Ponzi Scheme FINRA Arbitration and State and Federal Court Litigation Attorney: The Securities and Exchange Commission (Commission) Obtains Final Judgment against Defendants Charged with Perpetrating $35 Million International Boiler Room Scheme Recnetly, the Commission announced that the United States District Court for the Central District of California…

The Securities and Exchange Commission recently announced an emergency asset freeze to halt a Ponzi scheme involving U.S. and New Zealand-based companies peddling sham investment opportunities ranging from a bank trading program to kidney dialysis clinics. The SEC alleges that Christopher A.T. Pedras, who has residences in Turlock, Calif., and New Zealand, misled his initial…

The Florida Department of Insurance: The mandate of the Florida Department of Insurance is to ensure that insurance companies licensed to do business in Florida are financially viable, operating within the laws and regulations governing the insurance industry; and offering insurance policy products at fair and adequate rates which do not unfairly discriminate against the…

The Securities and Exchange Commission’s Office of Investor Education and Advocay recently issued an Investor Alert: Beware of Pyramid Schemes Posing as Multi-Level Marketing Programs. Excerpts from this release follow: Have you ever been tempted by an advertisement or offer to make “easy money” or “online income” out of your own home? Multi-level marketing (“MLM”)…

Master Limited Partnership v. Public Limited Partnership – Florida Limited Partnership – Federal and State Litigation Attorney: Fraud in the Inducement, breach of the partnership agreement, mismanagement of the partnership, self-dealing and fraud in the operation of the partnership. A limited partnership is a form of legal entity created under the law of a particular…

Corporate Annual Report (10-K) – Florida Business Practice and Corporate Litigation and Arbitration Attorney: An “Annual Report” is a record of a corporation’s annual financial condition that is required to be distributed to shareholders under Securities and Exchange Commissions rules and regulations. Included in the report is a description of the company’s operations as well…

The Securities and Exchange Commission Halts a Texas-Based Scheme Targeting Foreign Investors Seeking U.S. Residency Through EB-5 Visa Program: The Securities and Exchange Commission recently announced fraud charges against a husband and wife in Texas for stealing funds from foreign investors under the guise of an investment opportunity to create U.S. jobs and a path…

Investment Scams That Exploit The Immigrant Investor Program: Recently, the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy and the United States Citizenship and Immigration Services (USCIS) jointly issued an Investor Alert to warn individual investors about fraudulent investment scams that exploit the Immigrant Investor Program, also known as “EB-5.” The…

Leverage Abuse, Exploitation and Manipulation – South Florida State and Federal Fraud, Misrepresentation and Breach of Contract Attorney: Leverage may be used in a number of circumstances. In the business arena, three common uses, of leverage, relate to investments, financial leverage and operating leverage. Investment Leverage (also known as margin) uses the equity in your…