Articles Posted in Sales of Unregistered Securities

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 Fort Lauderdale, Boynton Beach, West Palm Beach, Boca Raton and Deerfield Beach Ponzi Scheme and Securities Fraud FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Robert Hurd, Your Best Memories International Inc. and Kenneth Gross, Civil Action No. 13-CV-04464-RGK (JCGx) (C.D. Cal. June 20, 2013) Court Orders California Company and…

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…

Hollywood, Davie and Fort Lauderdale Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney Securities and Exchange Commission v. Allen Ross Smith, Civil Action No. 1:14-cv-192 (D.N.H. May 2, 2014) SEC Charges Florida Lawyer in Connection with Multi-Million Dollar Prime Bank Scheme The Securities and Exchange Commission recently announced that it charged Florida…

Boca Raton, Delray Beach, Lantana, Lake Worth, Florida Unregistered Sales of Securities FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.: Securities and Exchange Commission v. James L. Erwin and Joint Venture Solutions, Inc., Civil Action No. 2:14-cv-623 (D. Nev. April 23, 2014) SEC Charges Las Vegas Resident and His Company with Securities and Broker-Dealer…

Securities and Exchange Commission v. World Capital Market Inc., et al., Civil Action No. CV14-2334-CAS (MRWx) South Florida Pyramid Scheme, Ponzi Scheme and Affinity Fraud Litigation and Arbitration Attorney: SEC Halts Los Angeles- and Hong Kong-Based Pyramid Scheme Targeting Asian and Latino Communities The Securities and Exchange Commission recently announced charges and asset freezes against…

Fort Lauderdale, Hollywood, Davie, Pompano Beach, Deerfield Beach, Lighthouse Point and Boca Raton, Florida Oil and Gas Fraud and Sale of Unregistered Securities Litigation and Arbitration Attorney: Securities and Exchange Commission v. Jason A Halek, Joshua D. Spivey, Patrick J. Booths and Steven J. Little, Civil Action No. 3:14-cv-01106-D (NDTX) (March 28, 2014) SEC Charges…

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…

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…