Articles Posted in Securities and Securities Fraud

Boca Raton, Delray Beach, Lantana, Lake Worth, West Palm Beach and Jupiter, Palm City and Stuart Florida Senior, Elder and Retirement Financial Abuse and Probate FINRA Arbitration and Litigation Attorney: FAQs – Annuity: An annuity is a contract in which an insurance company makes a series of income payments at regular intervals in return for…

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…

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…

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…

Special Orders and Trading Instructions – South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Breach of Contract, Mismanagement, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney: Special Orders and Trading Instructions: In addition to market and limit orders, brokerage firms may allow investors to use special orders and trading instructions…