South Florida Arbitration & Litigation Lawyer Blog

Certain Option Terms: There are varied terms and concepts that relate to option activity. Here are a few. However, please keep in mind that the purpose of this post is to provide the reader with general information concerning just a few of them. Thus, the purpose of this post is to provide the reader with…

Philip A. Falcone and Harbinger Charged with Securities Fraud June, 2012: The Securities and Exchange Commission recently filed fraud charges against New York-based hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital Partners LLC for illicit conduct that included misappropriation of client assets, market manipulation, and betraying clients. The SEC also charged…

Securities and Exchange Commission v. AMMB Consultant Sendirian Berhad, Case no. 1:12-cv-01052 (U.S. District Court for the District of Columbia, filed June 26, 2012) June, 2012: SEC SUES FUND ADVISER FOR FEES CHARGED IN BREACH OF DUTY UNDER THE INVESTMENT COMPANY ACT The Securities and Exchange Commission recently sued AMMB Consultant Sendirian Berhad (AMC), a…

Active Brokerage Accounts. When should you be worried? The phrase “active” brokerage account carries varied visions with it in the mind of the account holder. What constitutes an active account to one investor, which is what he or she has asked for, may be an abusive use of control, by an account executive, of another.…

South Florida Broker/Dealer Misconduct FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq. June, 2012: The Securities and Exchange Commission recently obtained a temporary restraining order and asset freeze against a Utah man and company charged with operating a real estate-based Ponzi scheme that bilked $100 million from investors nationwide. The SEC’s complaint filed in…

CPA or Accountant Opinion and Its Significance: This post is designed to provide the reader with general educational information concerning the significance of a Certified Public Accountant or Accountant Opinion generally and specifically when considering an investment. Please keep in mind that this information is being provided for informational purposes only and is not designed…

Accidental Death Benefit: This post is designed to provide the reader with general educational information concerning an accidental death policy or benefit. Please keep in mind that this information is being provided for informational purposes only and is not designed to be complete in all material respects. Thus, it should not be relied upon as…

Penny Stocks: This post is designed to provide the reader with general educational information concerning various characteristics associated with “penny stocks.” Please keep in mind that this information is being provided for informational purposes only and is not designed to be complete in all material respects. Thus, it should not be relied upon as providing…

What is an “Advance Refunding?” This post is designed to provide the reader with general information concerning what an “advanced refunding is” and what it accomplishes. Please keep in mind that this information is being provided for informational purposes only and is not designed to be complete in all material respects. Thus, it should not…

What is the Advance – Decline Ratio? This post is designed to provide the reader with general information concerning what the “advance – decline” is. Please keep in mind that this information is being provided for informational purposes only and is not designed to be complete in all material respects. Thus, it should not be…