Articles Posted in Securities Litigation

South Florida Ponzi Scheme and Investment Contract Fraud and Misrepresentation State and Federal Litigation and Arbitration Attorney: Securities and Exchange Commission v. JCS Enterprises, Inc. et al., Civil Action No. 14-civ-80468 (S.D. Fla.) (April 7, 2014) SEC, Criminal Authorities Halt Florida Ponzi Scheme Targeting Investors in Virtual Concierge Machines Recently, the Securities and Exchange Commission…

Securities and Exchange Commission v. World Capital Market Inc., et al., Civil Action No. CV14-2334-CAS (MRWx) South Florida Pyramid Scheme, Ponzi Scheme and Affinity Fraud Litigation and Arbitration Attorney: SEC Halts Los Angeles- and Hong Kong-Based Pyramid Scheme Targeting Asian and Latino Communities The Securities and Exchange Commission recently announced charges and asset freezes against…

Fort Lauderdale, Hollywood, Davie, Pompano Beach, Deerfield Beach, Lighthouse Point and Boca Raton, Florida Oil and Gas Fraud and Sale of Unregistered Securities Litigation and Arbitration Attorney: Securities and Exchange Commission v. Jason A Halek, Joshua D. Spivey, Patrick J. Booths and Steven J. Little, Civil Action No. 3:14-cv-01106-D (NDTX) (March 28, 2014) SEC Charges…

South Florida Broker/Dealer Negligent Supervision, Breach of Fiduciary, Selling Away and Unapproved Outside Business Activity FINRA Arbitration and Litigation 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…

Florida Securities Excessive Activity (Churning), Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation 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…

Corporate and Corporate High Yield Bond Breach of Fiduciary, Unsuitability, Churining and Unauthorized Purchase and Sale FINRA Arbitration, Litigation and Probate Attorney: If you are considering or if your account executive or investment advisor is soliciting you to purchase, hold or sell a corporate bond, you may wish to read this post to refresh your…

Exchange-Traded Funds (ETFs) – Florida Elder, Senior and Retirement Financial Abuse and Exploitation Unsuitability, Excessive Trading (Churning), Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration, Litigation and Probate Estate Attorney: Exchange-Traded Funds (ETFs): The solicitation of ETFs by brokerage firms and their account executives seeking to convince their clients to purchase and sell EFTs…

Florida Variable Annuity Fraud and Elder, Senior and Retirement Financial Abuse and Exploitation FINRA Arbitration, Litigation and Probate Estate Attorney: SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill The Securities and Exchange Commission recently announced enforcement actions against a pair of brokers, an investment advisory…

South Florida Broker/Dealer and Account Executive Investment Club and Unapproved Outside Business and Negligent Supervision FINRA Arbitration, Litigation and Probate Estate 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.…

South Florida Broker/Dealer and Account Executive Selling Away and Unregistered Promissory Note and Negligent Supervision FINRA Arbitration, Litigation and Probate Estate 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.…