Articles Posted in SEC Enforcement Actions

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…

Fort Lauderdale, Boca Raton and West Palm Beach, Florida Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Barry R. Bekkedam, Civil Action No. 14-cv-2488 (E.D. Pa.) SEC Charges Barry R. Bekkedam with Defrauding Investment Advisory Clients in Connection with Multimillion Dollar Rothstein Ponzi Scheme The Securities and Exchange…

Fort Lauderdale, Boca Raton, Deefrield Beach and Pompano Beach, Florida Oil and Gas Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Guardian Oil & Gas, Inc., Guardian Oil and Natural Gas, Inc., and Rick D. Mullins, Civil Action No. 3:14-cv-01533-L (N.D. Tx.) SEC Charges Texas Resident and His Companies for…

Boca Raton, Delray Beach and Lake Worth, Florida Debenture Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Charles Vista, LLC, Civil Action No. 14-cv-2643 (E.D.N.Y. Filed April 28, 2014) SEC Files Action Against Broker-Dealer to Enforce Compliance with Order to Pay Civil Penalty The Securities and Exchange Commission recently announced…

Boca Raton, Florida Unregistered Sales of Security Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney: SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement The Securities and Exchange Commission recently issued a stop order to prevent a Northern California-based company from issuing stock after including false and misleading…

South Florida Real Estate Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney: SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture The Securities and Exchange Commission recently filed fraud charges against a former Florida-based stock promoter currently serving a two-year prison sentence for lying to SEC investigators. The SEC’s complaint filed…

South Florida Fraudulent Trading Program and Prime Bank Guarantee Litigation and Arbitration Attorney: Securities and Exchange Commission v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson, Civil Action No. 1:11-cv-11649 SEC Obtains Final Judgment Against Defendant in Fictitious Investment Scheme The Securities and Exchange Commission recently announced that on April…

South Florida Internet Ponzi Scheme and Securities Fraud and Misrepresentation FINRA Arbitration and Florida State and Federal Litigation Attorney: Securities and Exchange Commission v. Timothy J. Coughlin, et al., Civil Action No. 1:14-cv-00562-WTL-MJD (S.D. Ind.) SEC Charges Indiana Man for Defrauding Investors in “Credit Union” Ponzi Scheme Recently, the Securities and Exchange Commission filed an…