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Posts tagged "Broker/Dealer Fraud and Mismanagement"

Citigroup Global Markets Inc. - South Florida Broker/Dealer and Account Executive Breach of Fiduciary Duty FINRA Arbitration Attorney

Citigroup Global Markets Inc. - South Florida Broker/Dealer and Account Executive Breach of Fiduciary Duty FINRA Arbitration 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 an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Joshua A. Yudell, Oxford Advisors, Inc., Oxford Capital Advisors, LLC. - Boca Raton, Florida Investment Fraud and Breach of Contract Agreement Litigation and Arbitration Attorney

Joshua A. Yudell, Oxford Advisors, Inc., Oxford Capital Advisors, LLC. - Boca Raton, Florida Investment Fraud and Breach of Contract Agreement Litigation and Arbitration Attorney

Pangaea Trading Partners, LLC., Arjent LLC., Arjent Limited, Excalibur Asset Management, LLC - South Florida Brokerage Firm Fraud and Misrepresentation Litigation and Arbitration Attorney

Pangaea Trading Partners, LLC., Arjent LLC., Arjent Limited, Excalibur Asset Management, LLC - South Florida, including Boca Raton, Fort Lauderdale and West Palm Beach,  Brokerage Firm Fraud and Misrepresentation Litigation and Arbitration Attorney

Argent, LLC and Arjent Limited - Brokerage Firm Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Argent, LLC and Arjent Limited - Brokerage Firm Fraud and Misrepresentation - South Florida, including Deerfield Beach, Lake Worth, Boca Raton and Delray Beach FINRA Arbitration and Litigation Attorney

South Florida Broker-Dealer and Investment Advisory Fraud and Misrepresentation Litigation and Arbitration Attorney

South Florida Broker-Dealer and Investment Advisory Firm Fraud and Misrepresentation Litigation and Arbitration Attorney

Securities and Exchange Commission v. Warren D. Nadel et al., Civil Action No. 11-cv-0215

SEC Obtains Summary Judgment Against Warren D. Nadel, His Broker-Dealer and His Investment Advisory Firm

The U.S. Securities and Exchange Commission recently announced that on April 2, 2015, the United States District Court for the Eastern District of New York granted the SEC's motion for partial summary judgment against Defendants Warren D. Nadel, his broker-dealer, Warren D. Nadel & Co. (WDNC), and his investment advisory firm Registered Investment Advisors, LLC , while also denying the Defendants' motion for summary judgment in its entirety. The Securities and Exchange Commission filed its civil action on January 13, 2011, alleging that the Defendants fraudulently induced clients to invest tens of millions of dollars in a purported investment program in order to receive over $8 million in commissions and fees from 2007 through 2009. The Complaint alleged, among other things, that the Defendants inflated the amount of assets they held under management, and repeatedly misrepresented to clients and prospective clients that they were executing open-market transactions on their behalf with other broker-dealer, when in fact, in the vast majority of transactions (numbering in the thousands), the trades consisted of cross trades between advisory client accounts, controlled by Defendants, or in principal transactions with his own firm, at prices determined by Nadel himself.

Valuations of Unlisted Real Estate Investment Trusts and Direct Participation Programs - Boca Raton, Florida REIT and DPP FINRA Arbitration and Litigation Attorney

SEC Order Approving FINRA Rule Change Relative to How Member Firms are Required to Calculate the Value of Unlisted Real Estate Investment Trusts and Direct-Participation Programs:

The Sec has approved FINRA's plan to overhaul how member firms calculate the value of unlised real estate investment trusts ("REITs") and direct-participation programs ("DPPs").  Under the new rules - specifically FINRA Rule 2310 - the firms will be required to include on customer account statements a per-share estimated value for any unlisted REIT and DPP securities that they have reason to believe is reliable.  

Boca Raton, Florida Misappropriation and Theft Litigation and Arbitration Attorney

Boca Raton, Florida Misappropriation and Theft Litigation and Arbitration Attorney:

Securities and Exchange Commission v. Dennis F. Wright, Civil Action No. 1:14-cv-01896-SHR (M.D. Pa)

Bradley Thomas Badger - Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney

Bradley Thomas Badger - Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation Attorney

John Thornes - South Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Boca Raton, Boynton Beach, Lake Worth, Delray Beach and Deerfield Beach, Florida Elder and Retirement Financial Abuse, Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney: 

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