John Lazorchak, Mark S. Cupo, Michael Castellim Michael T. Pendolino, Mark D. Foldy, James N. Deprado and Lawerance Grum – Securities and Investment (Public and Private) Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

The Securities and Exchange Commission recently charged three health care company employees and four others in a New Jersey-based insider trading ring of various high school friends generating $1.7 million in illegal profits and kickbacks by trading in advance of 11...

MassMutual – South Florida Annuity and Insurance Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

MassMutual to Pay $1.625 Million after SEC Investigation Highlights Prior Insufficient Disclosures about Annuity Product MassMutual Changes Product Before Any Investors Harmed The Securities and Exchange Commission recently charged Massachusetts Mutual Life Insurance...

BP p.l.c. – Florida Limited Partnership Oil and Gas Fraud and Misrepresentation Litigation Attorney

SEC v. BP p.l.c., Case No. 2:12-cv-02774 (E.D. La. Nov. 15, 2012). BP TO PAY $525 MILLION PENALTY TO SETTLE SEC CHARGES OF SECURITIES FRAUD DURING DEEPWATER HORIZON OIL SPILL The Securities and Exchange Commission recently charged BP p.l.c. with misleading investors...

Residential Mortgage-Back Securities (RMBS) – Florida Securities Offering Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I, Civil Action No. 1:12-cv-01872...

Treasury Bills, Bonds and Notes – South Florida Broker/Dealer and Investment Advisor Fraud, Breach of Fiduciary Duty and Negligence FINRA Arbitration and Litigation Attorney

Treasury Bills, Bonds and Notes: The purpose of this post is to provide the reader with a description of the investment terms “Treasury Bills, Treasury Bonds and Treasury Notes.” Please keep in mind that this post is being provided for educational purposes...

Wasson Capital Advisors Ltd. and Anand Sekaran – Florida Misuse of Funds and Theft FNIRA, AAA and JAMS Arbitration and Litigation Attorney

SEC Charges Miami-Based Adviser with Hiding Trading Losses and Diverting Client Funds The Securities and Exchange Commission recently charged a Miami-based investment adviser for defrauding his clients by concealing trading losses and diverting investor funds for...

Lee Cole, Liden Boyne and Electronic Game Card, Inc. – Securities and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

SEC Charges Executives and Auditor of Electronic Game Card Company with Fraud Recently, the Securities and Exchange Commission (SEC) charged three executives with repeatedly lying to investors about the operations and financial condition of an Irvine,...

James F. Ellis – Wilton Manors, Florida Ponzi Scheme and Investment Fraud FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Ellis, Civil Action No. 0:12-cv-62211 SEC Charges South Florida Man with Recruiting Victims of Ponzi Scheme The Securities and Exchange Commission recently charged a South Florida man with defrauding at least 14 investors by...

Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle) and Jilapuhn, Inc., d/b/a Her Majesty’s Credit Union, LLC. – Hollywood, Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle) and Jilapuhn, Inc., d/b/a Her Majesty’s Credit Union, LLC, Civil Action No. [1:12-cv-02939] (D. Colo., filed November 8, 2012). SEC Charges Purported Credit...