Articles Posted in Private Placements / Direct Investments

Florida’s Regulation D and Rule 506 Offering Requirements – Boca Raton, Fort Lauderdale and West Palm Beach, Florida Securities Fraud and Misrepresentation FINRA Arbitration, Litigation and Elder Abuse Attorney: What are Florida’s Regulation D and Rule 506 Offering requirements? Regulation D and Rule 504 Public Offerings: Sales must be made pursuant to the registration by…

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 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…

Boca Raton, Boynton Beach, Delray Beach, West Palm Beach, Lantana, Florida Private Placment and Private Investment Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Gaeton S. Della Penna et al., Civil Action No. 8:14-CV-1203T30MAP The Securities and Exchange Commission recently filed charges against Gaeton “Guy” S. Della Penna of…

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…

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 Unregistered Securities, Joint Venture and Securities Misrepresentation and Litigation Attorney: Securities and Exchange Commission v. Arcturus Corporation, et al., Civil Action No. Civ. Action No. 3:13-cv-04861-K (N.D. Tex., Dallas Division, filed December 12, 2013) SEC Charges Texas Oil and Gas Promoters for Securities Fraud Recently, the Securities and Exchange Commission charged Leon Ali…

Tampa, Fort Meyers and Naples, Florida Investment Adviser Fraud, Breach of Fiduciary Duty and Misrepresentation FINRA Arbitration and State and Federal Court Litigation Attorney: The Securities and Exchange Commission recently announced charges against two Tampa-area investment advisers accused of committing fraud by failing to truthfully inform clients about compensation received from offshore funds they were…

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…