Articles Posted in State Regulatory Enforcement Actions

South Florida Third Party 401(k) Plan Administrator Fraud and Misrepresentation Litigation Attorney: The Florida Office of Financial Regulation (OFR) recently announced the March 9 arrest of James Allen Hall in Kansas by the Crawford County Sheriff’s Office. Hall has been charged with grand theft, and he is currently awaiting extradition to Florida. The case is…

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida – South Florida Securities Attorney: Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that: (1) No dealer, associated person, or issuer of securities shall sell or offer for sale any securities in or from offices…

State of Florida Insurance Fraud, Regulation, Misrepresentation, and Negligence Litigation and Arbitration Attorney: In the Matter of Johan Mary-Lyn Akal, Case No.: 140353-13-AG: On September 20, 2013, the Florida Department of Financial Services (“Department”) issued a Consent Order against Johan Mary-Lyn Akal, which, in part, required the Respondent to surrender to the Department of Insurance…

Lemon Bay Asset Management, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign…

Keystone Wealth Management, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals…

Highwater Ethanol, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that…

Andrew Powell: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested…

Wentley Financial Services: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that…

Premier Wealth Management, LLC.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals…

Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested in U.S.…