Articles Posted in SEC Enforcement Actions

Fort Lauderdale, Boca Raton, Delray Beach, Lantana, West Palm Beach and Stuart, Florida Microcap and Penny Stock Fraud and Misrepresentation Litigation, FINRA Arbitration and Elder Abuse Attorney: SEC Announces Charges in Scheme to Secretly Enable Lawbreakers to Run Microcap Company The Securities and Exchange Commission recently announced fraud charges against four individuals and a microcap…

Miami, Hollywood, Dania, Fort Lauderdale, Pompano Beach and Lighthouse Point, Florida Prime Bank Investment and Program Trading Scheme Litigation, FINRA Arbitration and Elder Abuse Attorney: Securities and Exchange Commission v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital…

Boca Raton, Deerfield Beach, Delary Beach, Boynton Beach, Lantana, Lake Worth and West Palm Beach Certified Public Accountant and Public Accountant Independence and Negligence Litigation and Arbitration Attorney: SEC Charges Ernst & Young With Violating Auditor Independence Rules in Lobbying Activities The Securities and Exchange Commission recently charged Ernst & Young LLP with violations of…

SEC Announces Fraud Charges Against Three Former Regions Bank Executives in Accounting Scheme The Securities and Exchange Commission recently announced fraud charges against three former senior managers of Regions Bank for intentionally misclassifying loans that should have been recorded as impaired for accounting purposes. As a result, the bank’s publicly-traded holding company overstated its income…

Boca Raton, Lantana, Lake Worth, Delray Beach and Boynton Beach, Florida High Yield Investment Scam Litigation and FINRA Arbitration Litigation Attorney: Securities and Exchange Commission v. Cheryl L. Robinson, Civil Action No. 2:14-cv-1036 (D. Nev. June 26, 2014) SEC Files Settled Charges Against Arizona Resident in Prime Bank Investment Scheme On June 26, 2014, the…

West Palm Beach, Lake Worth, Delray Beach, Boca Raton and Pompano Beach, Florida – Hedge Fund Fraud and Mismanagement FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Weston Capital Asset Management LLC, et al., Civil Action No. 14-cv-80823 (S.D. FL) The Securities and Exchange Commission recently filed a civil action in the United…

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…

South Florida, including Fort Lauderdale, Pompano Beach, Margate, Lighthouse Point, Deerfield Beach and Boca Raton Charitable Gift Fraud and Misrepresentation and Elder Abuse and Exploitation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Richard K. Olive and Susan L. Olive, Civil Action No. 2:13-civ-14047 (S.D. Fla.); Securities and Exchange Commission v. William G. Reeves, Esq., Civ.…

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, Fort Lauderdale and West Palm Beach, Florida Penny and Microcap Stock Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny stock schemes with…