Articles Posted in Sales of Unregistered Securities

Michael P. Zenger – Florida Misappropriation of Funds Litigation and Arbitration Attorney
Russell L. Forkey

South Florida Misappropriation of Funds and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Michael P. Zenger, Civil Action No. 2:14-cv-00065 (USDC Utah, Filed January 31, 2014) SEC Obtains Asset Freeze and Other Relief Against Michael P. Zenger On January 31, 2014, the Securities and Exchange Commission obtained a…

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Berton M. Hochfeld and Hochfeld Capital Management, LLC. – South Florida Hedge Fund Mismanagement, Fraud and Breach of Fiduciary Duty Litigation and Arbitration Attorney
Russell L. Forkey

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,…

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Equity Fund and Equity Manager Fruad and Mismanagement – South Florida Litigation and Arbitration Attorney
Russell L. Forkey

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…

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Hedge Fund Fraud and Misrepresentation – South Florida Hedge Fund Fraud, Misrepresentation and Mismanagement Litigation and FINRA Arbitration Attorney
Russell L. Forkey

Hedge Fund Fraud, Mismanagement and Misrepresentation – South Florida Litigation and AAA Arbitration 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 announced today that on January 22, 2014, the Honorable Paul…

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Face Value of Bonds, Notes and Other Securities – Florida Securities and Investment Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney
Russell L. Forkey

Face Value of Bonds, Notes and Other Types of Securities – South Florida FINRA Arbitration and Litigation Attorney: When using the term “Face Value” in referring to a security, it means the value as given on the certificate or instrument. For example, corporate bonds are usually issued with $1,000 face values, municipal bonds with $5,000…

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Unregistered Offer and Sale of Securities – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney
Russell L. Forkey

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…

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Arcturus Corporation and Aschere Energy LLC. – South Florida Oil and Gas Securities Fraud and Misrepresentation Litigation and Arbitration Attorney
Russell L. Forkey

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…

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Robert A. Helms and Janniece S. Kaelin – Florida Oil and Gas Ponzi Scheme Litigation and Arbitration Attorney
Russell L. Forkey

Florida Oil and Gas Fruad, Misrepresentation and Ponzi Scheme Litigation and Arbitration Attorney: The Securities and Exchange Commission recently announced charges and an emergency asset freeze against the perpetrators of a Texas-based Ponzi scheme involving purported investments in oil and gas projects. The SEC alleges that Robert A. Helms and Janniece S. Kaelin, who work…

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Fictitious Offering and Unregisterd Securities – South Florida Fraud and Misrepresentation Federal and State Court Litigation Attorney
Russell L. Forkey

Security and Exchange Commission Obtains Summary Judgment against Defendants Charged With Defrauding Investors in Fictitious Offering The Securities and Exchange Commission (SEC) recently announced that the United States District Court for the District of Columbia granted the SEC’s motion for summary judgment against all primary defendants and certain relief defendants in a civil action arising…

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EB-5 Visa Program Fraud – Florida EB-5 Fraud and Misrepresentation Litigation and Arbitration Attorney
Russell L. Forkey

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…

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