South Florida Arbitration & Litigation Lawyer Blog

James D. Belenis – Unapproved Private Securities and Outside Business Activity – Boca Raton, Florida 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…

Unlawful Reimbursement of Customer Losses – Boca Raton, Florida 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 elects to institute…

FAQs Margin – Boca Raton, Florida Margin Abuse and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney Margin: Borrowing Money To Pay for Stocks: “Margin” is borrowing money from your broker to buy a stock and using your investment as collateral. Investors generally use margin to increase their purchasing power so that they can…

T + 3 – Settlement of Security Transactions – Boca Raton, Lake Worth and North Palm Beach, Florida Securities Litigation and Arbitration Attorney What is meant by T+3? Generally, investors must complete or settle their security transactions within three business days. This settlement cycle is known as “T+3,” shorthand for “trade date plus three days.”…

FAQs Regulation SHO – Boca Raton and Delray Beach, Florida Securities Litigation and Arbitration Attorney Regulation SHO Compliance with Regulation SHO began on January 3, 2005. Regulation SHO was adopted to update short sale regulation in light of numerous market developments since short sale regulation was first adopted in 1938 and to address concerns regarding…

FAQs Short Selling – South Florida, including Boca Raton, Fort Lauderdale and West Palm Beach Securities Litigation and Arbitration Attorney I. Short Sales A. What is a short sale? A short sale is generally the sale of a stock you do not own (or that you will borrow for delivery). Short sellers believe the price…

Retirement Planning Fraud – South Florida Retirement Financial Fraud and Financial Exploitation Attorney: Securities and Exchange Commission v. Bobby M. Collins, Civil Action No. 3:15-cv-3620-D (N.D. Tex. November 10, 2015) SEC Charges Texas Man with Orchestrating Fraud Scheme Targeting Senior Investors The Securities and Exchange Commission announced today that it has charged a Texas-based insurance…

Shane Whittle – Boca Raton, Florida Fraudulent Promotion and Micro-Cap Stock Litigation Attorney: The Securities and Exchange Commission (SEC) recently announced fraud charges against several alleged perpetrators behind a $78 million pump-and-dump scheme involving the stock of Jammin’ Java, a company that operates as Marley Coffee and uses trademarks of late reggae artist Bob Marley…

EB5 Asset Manager, LLC. – South Florida Private Placement Fraud Litigation and Arbitration Attorney: Securities and Exchange Commission v. EB5 Asset Manager, LLC, et al., Civil Action No. 0:15-CV-62323 (S.D. Fla., filed November 3, 2015) Assets Frozen in Alleged Immigration Scam: The Securities and Exchange Commission recently announced it has obtained a court order freezing…

Christopher Brogdon – Municipal Bond and Private Placement Offering Fraud. South Florida, including Boca Raton, Fort Lauderdale, West Palm Beach and Miami Litigaiton and Arbitration Attorney. The Securities and Exchange Commission (SEC) recently announced fraud charges and an emergency asset freeze obtained against an Atlanta-based businessman accused of misusing investor funds raised to purchase and…