South Florida Arbitration & Litigation Lawyer Blog

South Florida Real Estate Fraud Litigation and Arbitration Attorney. Securities and Exchange Commission v. Carl Keith Battie, No. 3:17-CV-01113-K (N.D. Tex filed Apr. 28, 2017) United States v. Carl Keith Battie, No. 3:16-CR-00051-D (N.D. Tex. filed October 24, 2016) SEC Announces Charges in Fraudulent Real Estate Investment Scheme The Securities and Exchange Commission announced that…

Securities and Exchange Commission v. Douglas Roe and Donald Lindo, Case No. 8:17-cv-01293-TDC (D.Md., filed May 11, 2017) The Securities and Exchange Commission recently announced charges against two individuals involved in a fraudulent scheme to offer for sale a penny stock by filing false and misleading registration statements with the Commission. According to the SEC’s…

South Florida Unregistered Investment Adviser Fraud and Misrepresentation Attorney. Securities and Exchange Commission v. Mohamud Abdi Ahmed and 2waytrading, LLC, No. 17-cv-1478 (D. Minn. filed May 4, 2017) SEC Halts Fraudulent Conduct by Recidivist and Unregistered Investment Adviser Firm The Securities and Exchange Commission recently announced that it obtained an asset freeze and court order…

The Securities and Exchange Commission recently announced fraud charges against a Ukraine-based trading firm accused of manipulating the U.S. markets hundreds of thousands of times and the New York-based brokerage firm and CEO who allegedly helped make it possible. The SEC’s complaint alleges that Avalon FA Ltd touted itself to traders as a destination to…

Stifel, Nicolaus & Co., Inc. and David Noack – South Florida, including Fort Lauderdale, Deerfield Beach, Pompano Beach and Boca Raton, Unsuitable Investment and Breach of Fiduciary Duty Litigation and Arbitration Attorney Securities and Exchange Commission v. Stifel, Nicolaus & Co., Inc., et al., Civil Action No. :11-cv-755 (E.D. Wis. filed Aug. 10, 2011) Stifel,…

Richard G. Cody – South Florida, including Boca Raton, Boynton Beach, Lake Worth and West Palm Beach, Elder Financial Abuse and Breach of Fiduciary Duty Litigation and Arbitration Attorney Russell L. Forkey, Esq. Securities and Exchange Commission v. Richard G. Cody, et al., Civil Action No. 16-cv-12510-FDS (D. Mass., filed Dec. 12, 2016) SEC Charges…

South Florida Sale of Unregistered Securities Litigation Attorney. Securities and Exchange Commission v. Rafael Antonio Calleja, Jr., Civil Action No. 16-CV-24872-KMW (S.D. Fla. filed November 22, 2016) SEC Charges Naples, Florida Resident with Misappropriating Investor Funds Recently, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the…

Trading Program Fraud – South Florida Trading Program Fraud and Misrepresentation Litigation Attorney Securities and Exchange Commission v. David B. Kaplan, Esq., et al., Civil Action No. 3:16-cv-00270 (D. Nevada-Reno filed May 19, 2016) SEC Obtains Asset Freeze Against Attorney Accused of Misrepresenting Investments and Misappropriating Investor Funds The Securities and Exchange Commission recently announced…

Pre-IPO Stock Fraud – Boca Raton, Florida Penny Stock Fraud Litigation and Arbitration Attorney Securities and Exchange Commission v. JSG Capital Investments, LLC, et al., Civil Action No. 3:16-cv-02814 (N.D. Ca.) SEC Halts Ponzi Scheme Aimed At Middle Class The Securities and Exchange Commission has charged two California men and their investment firm with operating…

Professional Athletes Beware Of Placing Too Much Trust In Your Financial Advisors – South Florida Financial Advisor Litigation and Arbitration Attorney SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners The Securities and Exchange Commission recently announced fraud charges against a Pittsburgh, Pa.-based financial adviser accused of taking money without permission from the…