Articles Posted in Securities and Securities Fraud

Pyramid Scheme and Other Investment Frauds – South Florida Pyramid Scheme and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney Securities and Exchange Commission v. Steve Chen, et al., Civil Action No. CV 15-07425 (C.D. Cal., filed September 22, 2015) Securities and Exchange Commission v. Steve Chen, et al. Recently, the Securities and Exchange…

Securities and Investment Advisor Fraud – South Florida Securities Fraud, Breach of Fiduciary Duty and Mismanagement Litigation and Arbitration Attorney Securities and Exchange Commission v. Jason W. Galanis, Civil Action No. 1:15-cv-07547 (Southern District of New York, Complaint filed Sept. 24, 2015) SEC Charges Six in Stock Fraud Scheme The Securities and Exchange Commission recently…

Manny Shulman and David K. Hirschman – Boca Raton, Florida Unregistered Securities Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. Manny J. Shulman and David K. Hirschman, Civil Action No. 0:15-cv-61861-WJZ (U.S. District Court for the Southern District of Florida, Sept. 3, 2015) On September 3, 2015, the Securities and Exchange…

John Cherry III – Conversion of Client Funds, Fraud and Misrepresentation Boca Raton, Florida FINRA Arbitration Attorney: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA…

Mark Welhouse and Welhouse & Associates, Inc. – South Florida Improper Trade Allocation and Cherry-Picking FINRA Arbitration and Litigation Attorney SEC Announces Cherry-Picking Charges Against Investment Manager Case Arises From Enforcement Initiative Analyzing Large Volumes of Investment Advisers’ Trade Allocation Data The Securities and Exchange Commission recently announced fraud charges against a Wisconsin-based investment advisory…

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…

South Florida, including Boca Raton, West Palm Beach and Royal Palm Beach Microcap Investment and Security Fraud and Misrepresentation Litigation Attorney Securities and Exchange Commission v. David Carven et. a. Civil Action No. 15-cv-1820 (S.D.N.Y.) SEC Files Emergency Action Against Father and Son Behind Pump and Dump Scheme, Obtains Asset Freeze The U.S. Securities and…

Boca Raton, Florida Securities and Investment Fund Fraud and Misrepresentation Litigation and Arbitration Attorney: Securities and Exchange Commission v. Frederic Elm f/k/a Frederic Elmaleh, et al., Case No. 15-cv-60082-DIMITROULEAS/SNOW SEC Charges Investment Adviser and Manager in South Florida-Based Fraud The Securities and Exchange Commission recently announced fraud charges and an asset freeze against a Fort…

Efstratios D. Argyropoulos and Prima Capital Group, Inc. – Boca Raton, Florida Stock Promoter Fraud and Misrepresentation Attorney Securities and Exchange Commission v. Efstratios “Elias” D. Argyropoulos and Prima Capital Group, Inc., Civil Action No. 2:14-cv-09800 (C.D. Cal.) SEC Charges Stock Promoter with Fraudulent Scheme Related to Pre-IPO Facebook and Twitter Shares On December 23,…

Boca Raton, Florida – Oil and Gas Offering Fraud – Fraudulent Stock Manipulation – False and Misleading Press Releases SEC Charges New Orleans Oil-And-Gas Company with Fraudulent Stock Manipulation Securities and Exchange Commission v. Treaty Energy Corporation, et al., Civil Action No. 4:14-cv-00812 (E.D. Tex., filed December 15, 2014) The Securities and Exchange Commission recently…