South Florida Arbitration & Litigation Lawyer Blog

Investment Adviser and Broker/Dealer Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 2012: SEC v. Jorge Gomez and Roberto Aleph Espinosa (United States District Court for the Southern District of Florida, Civil Action No. 1:12-CV-21962 SEC CHARGES TWO INVESTMENT ADVISERS WITH FRAUD The Securities and Exchange Commission recently charged Jorge…

Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 2012: Securities and Exchange Commission v. New Futures Trading International Corporation and Henry Roche (United States District Court for the District of New Hampshire, Civil Action No. 11-CV-532-JL, Complaint Filed November 16, 2011) Court Enters Final Judgments Against New Hampshire Futures…

Investment Adviser and Broker/Dealer Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq. June, 2011: SEC Charges Phoenix-Based Investment Adviser and Firm With Fraud The Securities and Exchange Commission recently charged a Phoenix-based investment adviser and his firm for recommending investments without telling clients about his personal stake and exploiting a client who was buying an…

What are “chills and “freezes”? June, 2012: In our continued effort to educate the investing public about various aspects of the securities markets, we are providing the below information. Because this information is being provided for educational purposes only, it should not be relied upon as providing legal or investment advice. Moreover, it is not…

The Depository Trust Corporation: June, 2012: In our continued effort to educate the investing public about various aspects of the securities markets, we are providing the below information. Because this information is being provided for educational purposes only, it should not be relied upon as providing legal or investment advice. Moreover, it is not intended…

Penny Stock Fraud Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 20132: SEC v. Yan K. Skwara and US Farms, Inc., Civil Action No. 0:12-cv-61078-JAL (U.S. District Court for the Southern District of Florida) SEC v. Douglas D. Hague and Clean Coal Technologies, Inc., Civil Action No. 0:12-cv-61076-WJZ (U.S. District Court for the…

Penny Stock Fraud and Market Manipulation Litigation and FINRA Abribtration Attorney, Russell L. Forkey, Esq. June, 2012 SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes The Securities and Exchange Commission recently charged several penny stock companies and their officers as well as three penny stock promoters involved in various…

June, 2012 OppenheimerFunds to Pay $35 Million to Settle SEC Charges for Misleading Statements During Financial Crisis The Securities and Exchange Commission recently charged investment management company OppenheimerFunds Inc. and its sales and distribution arm with making misleading statements about two of its mutual funds struggling in the midst of the credit crisis in late…

June, 2011: SEC Approves Proposals to Address Extraordinary Volatility in Individual Stocks and Broader Stock Market In an attempt to keep investors apprised on changes in the regulatory environment, we have provided a copy a a recent release issued by the Securities and Exchange Commission. Please keep in mind that this post is being provided…

Securities Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney, Russell L. Forkey, Esq. June, 2012: SEC Charges Two Feeders For One of South Florida’s Largest-Ever Ponzi Schemes Recently, The Securities and Exchange Commission charged two individuals who provided the biggest influx of investor funds into one of the largest-ever Ponzi schemes in South Florida. The…