Securities Litigation

Richard Olive, Susan Olive and We The People, Inc. – Fort Lauderdale and Boca Raton, Florida Charitable Fraud Litigation and Arbitration Attorney

Published on: May 29, 2014 | By Russell L. Forkey, P.A.

South Florida, including Fort Lauderdale, Pompano Beach, Margate, Lighthouse Point, Deerfield Beach and Boca Raton Charitable Gift Fraud and Misrepresentation and Elder Abuse and Exploitation FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Richard K. Olive and Susan L. Olive, Civil Action No. 2:13-civ-14047 (S.D. Fla.); Securities and Exchange Commission v. William G. Reeves, Esq., Civ. No. 2:13-cv-14048 (S.D. Fla.)

Husband and Wife Agree to $2 Million Settlement in Florida-Based Charity Fraud Case

Neal V. Goyal – Boca Raton, Florida Investment Fund Manager Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Published on: May 29, 2014 | By Russell L. Forkey, P.A.

South Florida, including Boca Raton, Deerfield Beach, Coral Springs, Delray Beach and Boynton Beach Investment Fund Manager Fraud and Ponzi Scheme FINRA Arbitration and Litigation Attorney:

Securities and Exchange Commission v. Neal V. Goyal, et al., Civil Action No. 1:14-cv-03900 (N.D. Illinois)

SEC Charges Chicago-Based Investment Fund Manager with Stealing Investor Money and Conducting Ponzi Scheme

FAQs Annuity – South Florida Elder, Senior and Retirement Financial Abuse FINRA Arbitration and Litigation Attorney

Published on: May 23, 2014 | By Russell L. Forkey, P.A.

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 a premium or premiums you have paid. Annuities are most often bought for future retirement income. Only an annuity can pay an income stream that can be guaranteed to last as long as you live.

Micricap and Penny Stock Fraud and Misrepresentation – South Florida FINRA Arbitration and Litigation Attorney

Published on: May 22, 2014 | By Russell L. Forkey, P.A.

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 roots in South Florida.

In complaints filed in federal court in Miami, the SEC charged five penny stock promoters with conducting various manipulation schemes involving undisclosed payments to induce purchases of a microcap stock to generate the false appearance of market interest. The SEC also charged a Massachusetts-based microcap company and the CEO with orchestrating a pair of illicit kickback schemes and an insider trading scheme involving the company’s stock. A stock promoter in Texas is charged for his role in the insider trading scheme.

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

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).