Articles Posted in Securities and Securities Fraud

The Securities and Exchange Commission Bars Alfred Clay Ludlum III Following His Injunction for Anti-Fraud Violations of the Securities Laws The Securities and Exchange Commission recently announced that it has barred Alfred Clay Ludlum III, a registered investment adviser and the founder, president, and sole control person of Printz Capital Management, LLC, Printz Financial Group,…

The Securities and Exchange Commission Obtains Final Judgments against Martin C. Hartmann III and Laura Ann Tordy The Securities and Exchange Commission recently announced that on July 9, 2013, the Honorable Denis R. Hurley of the United States District Court for the Eastern District of New York entered final judgments against defendants Martin C. Hartmann…

South Florida Securities and Precious Metals FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. John Fowler, Jeffrey Fowler, and Julianne Chalmers, Civil Action No. 8:13-cv-1747-T-17TGW The Securities and Exchange Commission recently announced that it filed an enforcement action on July 5, 2013 against John Fowler, a convicted felon, Jeffrey Fowler, a former Florida…

Securities and Exchange Commission Sustains FINRA Disciplinary Action against Registered Representative and Supervisor The Securities and Exchange Commission has sustained disciplinary action by the Financial Industry Regulatory Authority (“FINRA”) against William J. Murphy and Carl M. Birkelbach, formerly associated with member firm Birkelbach Investment Securities, Inc. In its opinion, the Commission sustained FINRA’s finding of…

Risks Associated With High-Yield Corporate Bonds. Florida High Yield Corporate Bond Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney. Some investors with a greater risk tolerance may find high-yield corporate bonds attractive, particularly in low interest rate environments. If you are considering buying a high-yield bond, it is important that you…

High Yield Corporate Bonds – Florida High Yield Corporate Bond and Fixed Income Breach of Fiduciary Duty, Negligent Supervision and Breach of Contract FINRA Arbitration and Litigation Attorney: A high-yield corporate bond is a type of corporate bond that offers a higher rate of interest because of its higher risk of default. When companies with…

Securities and Exchange Commission Sues Texas Oil and Gas Promoters for Securities Fraud On June 28, 2013, the Commission charged Matthew Madison and Dwight McGhee, and their Irving, Texas based company Infinity Exploration, LLC, with conducting a fraudulent offering of oil and gas related investments. The Commission’s complaint alleges that, between March and October 2008,…

Florida Oil and Gas Private Placement Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. Securities and Exchange Commission v. Bret Boteler, Civil Action No. 4:13-cv-00527-Y (N.D.TX., filed June 28, 2013) SEC Charges Oil and Gas Promoter with Securities Fraud The Securities and Exchange Commission recently filed a civil injunctive action charging Bret L. Boteler of…

The Relationship Between Corporate and Municipal Bond Prices, Interest Rates and Yield. South Florida FINRA Arbitration and Litigation Attorney. The price of a bond moves in the opposite direction than market interest rates. When interest rates go up, the price of the bond goes down. When interest rates go down, the bond’s price goes up.…

Secured vs. Unsecured Corporate and Municipal Bonds – What happens if a company goes into bankruptcy? South Florida FINRA Arbitration and Litigation Attorney – You may be able to recover your investment losses. If a company defaults on its bonds and goes bankrupt, bondholders will have a claim on the company’s assets and cash flows.…