Articles Posted in SEC Enforcement Actions 2015

North Dakota Developments, LLC., Robert L. Gavin and Daniel J. Hogan – South Florida Securities and Investment Fraud and Commercial Litigation Attorney: Securities and Exchange Commission v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al., Civil Action No. 4:15-cv-00053-DLH-CSM (D.N.D.) SEC Halts Bakken Oil and Gas-Related Investment Scheme The Securities…

Argent, LLC and Arjent Limited – Brokerage Firm Fraud and Misrepresentation – South Florida, including Deerfield Beach, Lake Worth, Boca Raton and Delray Beach FINRA Arbitration and Litigation Attorney SEC Charges Brokerage Firm Co-Owners With Defrauding Investors The Securities and Exchange Commission recently announced fraud charges against the co-owners of a Manhattan-based brokerage firm. The…

Sethi Petroleum, LLC and Sameer Praveen Sethi – Fraudulent Oil and Gas Scheme – South Florida, including Boca Raton, Fort Lauderdale and West Palm Beach, Commercial Litigation Attorney Securities and Exchange Commission v. Sethi Petroleum, LLC and Sameer Sethi, Civil Action No. 4:15-CV-338 (E.D. Tex.) SEC Halts Fraudulent Oil and Gas Scheme and Obtains Asset…

Defunct Companies (“Microcap“) – Pump and Dump Scheme – Florida Securities Investment Fraud Attorney Defunct Companies: Can the Stock Continue to Trade? Even when a company is no longer in business, there may still be active trading in its stock. This is because companies that are no longer operating may still have outstanding registered stock,…

Veros Partners, Inc., Jeffrey B. Risinger and Tobin J. Senefeld – Boca Raton, Florida Investment Adviser and Private Offering Fraud and Misrepresentation Attorney Securities and Exchange Commission v. Veros Partners, Inc., et al., Civil Action No. 15-cv-000659-JMS-MJD (S.D.Ind., filed April 22, 2015) SEC Halts Fraudulent Farm Loan Scheme by Indianapolis Investment Adviser The Securities and…

SEC Halts Investment Scheme Targeting Military Personnel The Securities and Exchange Commission recently announced fraud charges and an asset freeze against a man living in central Texas accused of telling false tales about his stockbroking experience to lure current and former U.S. military personnel into investing with him. The SEC alleges that Leroy Brown Jr.…

South Florida Oil and Gas Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. GC Resources, LLC and Brian J. Polito, Civil Action No. 3:15-CV-0104-B, (NDTX, filed April 6, 2015) SEC Charges Oil and Gas Company and Founder with Fraud The Securities and Exchange Commission (“Commission”) filed suit against GC Resources, LLC…

Professional Athletes – South Florida Investment Fraud Litigation and Arbitration Attorney Securities and Exchange Commission v. Capital Financial Partners, LLC et al., Civil Action No. 15-cv-11447-IT SEC Obtains Asset Freezes in Ponzi Scheme Involving Loans to Professional Athletes The Securities and Exchange Commission recently announced fraud charges against a former professional football player and others,…

South Florida Broker-Dealer and Investment Advisory Firm Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. Warren D. Nadel et al., Civil Action No. 11-cv-0215 SEC Obtains Summary Judgment Against Warren D. Nadel, His Broker-Dealer and His Investment Advisory Firm The U.S. Securities and Exchange Commission recently announced that on April 2,…

Dean Esposito, Joseph DeVito, Frederick Birks and Joseph Azzata – Boca Raton, Florida Microcap Investment Fraud Litigation and Arbitration Attorney SEC Halts Microcap Scheme in South Florida The Securities and Exchange Commission recently announced fraud charges and an asset freeze against the operators of a South Florida-based microcap scheme, including three boiler room brokers caught…