SEC Enforcement Actions 2014

Gaeton S. Della Penna – South Florida Private Placement and Private Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: May 21, 2014 | By Russell L. Forkey, P.A.

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 Sarasota, Florida for engaging in a scheme to defraud investors who purchased securities in his private investment funds.

Allen Ross Smith – Prime Bank Scheme and Unregistered Sales of Securities – Fort Lauderdale Securities and Investment Fraud and Misrepresentation Attorney

Published on: May 2, 2014 | By Russell L. Forkey, P.A.

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

James Erwin and Joint Venture Solutions, Inc. – Boca Raton, Florida Unregistered Sales of Securities FINRA Arbitration and Litigation Attorney

Published on: May 1, 2014 | By Russell L. Forkey, P.A.

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

Boca Raton, Florida Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: April 30, 2014 | By Russell L. Forkey, P.A.

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, Deerfield Beach and Pompano Beach, Florida Oil and Gas Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Published on: April 30, 2014 | By Russell L. Forkey, P.A.

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

Published on: April 30, 2014 | By Russell L. Forkey, P.A.

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

Stop Orders – Boca Raton, Florida Unregistered Sales of Securities Fraud and Misrepresentation Attorney

Published on: April 24, 2014 | By Russell L. Forkey, P.A.

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).

Robert J. Vitale and Realty Acquisitions & Trust, Inc. – Florida Real Estate Investment Fraud, Misrepresentation and Mismanagement Litigation and Arbitration Attorney

Published on: April 24, 2014 | By Russell L. Forkey, P.A.

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.

Robert C. Rice – South Florida Fraudulent Trading Program and Prime Bank Guarantee Litigation and Arbitration Attorney

Published on: April 16, 2014 | By Russell L. Forkey, P.A.

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

Timothy J. Coughlin, Oxford International Credit Union and Oxford International Cooperative Union – South Florida Internet Ponzi Scheme and Securities Fraud and Misrepresentation Litigation and Arbitration Attorney

Published on: April 16, 2014 | By Russell L. Forkey, P.A.

South Florida Internet Ponzi Scheme and Securities Fraud and Misrepresentation FINRA Arbitration and Florida State and Federal Litigation Attorney:

Securities and Exchange Commission v. Timothy J. Coughlin, et al., Civil Action No. 1:14-cv-00562-WTL-MJD (S.D. Ind.)

SEC Charges Indiana Man for Defrauding Investors in “Credit Union” Ponzi Scheme