Boca Raton, Delray Beach, Lantana, Lake Worth, Florida Unregistered Sales of Securities FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.:
Securities and Exchange Commission v. James L. Erwin and Joint Venture Solutions, Inc., Civil Action No. 2:14-cv-623 (D. Nev. April 23, 2014)
SEC Charges Las Vegas Resident and His Company with Securities and Broker-Dealer Registration Violations in Connection with Multi-Million Dollar Prime Bank Schemes
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
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 Selling Fraudulent Oil and Gas Investments
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
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 information in its amended registration statement for an initial public offering (IPO).
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.
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 to buy and sell stocks. One common special order and trading instruction is the “stop-limit order.”
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 to buy and sell stocks. One of the most common special orders and trading instructions is the “stop order.”
South Florida Broker/Dealer, Investment Advisor and Account Executive Mismanagement, Breach of Fiduciary Duty, Negligence and Negligent Supervision FINRA Arbitration and Litigation Attorney:
Market Order:
A market order is the most frequently placed type of order. A market order is an order to buy or sell a stock at the best available price. Generally, this type of order will be executed immediately. However, the price at which a market order will be executed is not guaranteed. It is important for investors to remember that the last-traded price is not necessarily the price at which a market order will be executed. In fast-moving markets, the price at which a market order will execute often deviates from the last-traded price or “real time” quote.
South Florida Fraudulent Trading Program and Prime Bank Guarantee Litigation and Arbitration Attorney:
Securities and Exchange Commission v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson, Civil Action No. 1:11-cv-11649
SEC Obtains Final Judgment Against Defendant in Fictitious Investment Scheme
South Florida Arbitration & Litigation Lawyer Blog