Articles Posted in SEC Enforcement Actions 2014

Florida Broker/Dealer and Investment Advisor Securities Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank The Securities and Exchange Commission recently announced another round of charges in its ongoing case against several individuals involved in a massive kickback…

South Florida, including Hollywood, Fort Lauderdale, Pompano Beach, Deerfield Beach, Boca Raton and Delray Beach, Florida Investment Advisor Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for…

South Florida, including Dade, Monroe, Broward and Palm Beach County, Florida Social Media and Hedge Fund Misrepresentation of Credentials and Trading Experience FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced fraud charges against a Honolulu woman posing as an investment banker and soliciting investors through Twitter, Facebook, and other social media.…

South Florida Ponzi Scheme and Investment Contract Fraud and Misrepresentation State and Federal Litigation and Arbitration Attorney: Securities and Exchange Commission v. JCS Enterprises, Inc. et al., Civil Action No. 14-civ-80468 (S.D. Fla.) (April 7, 2014) SEC, Criminal Authorities Halt Florida Ponzi Scheme Targeting Investors in Virtual Concierge Machines Recently, the Securities and Exchange Commission…

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…

Florida Variable Annuity Fraud and Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney: SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill The Securities and Exchange Commission recently announced enforcement actions against a pair of brokers, an investment advisory…

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…

South Florida Ponzi Scheme, Boiler Room and Movie Fraud and Misrepresentation Litigation and Arbitration Attorney: SEC Charges Three California Residents Behind Movie Investment Scam The Securities and Exchange Commission recently charged three California residents with defrauding investors in a purported multi-million dollar movie project that would supposedly star well-known actors and generate exorbitant investment returns.…

Credit Suisse Agrees to Pay $196 Million and Admits Wrongdoing in Providing Unregistered Services to U.S. Clients The Securities and Exchange Commission recently announced charges against Zurich-based Credit Suisse Group AG for violating the federal securities laws by providing cross-border brokerage and investment advisory services to U.S. clients without first registering with the SEC. Credit…