Jeffrey A. Liskov and EagleEye Asset Management, LLC. – South Florida Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov, United States District Court for the District of Massachusetts, Civil Action No. 11-CV-11576 Court Enters Final Judgment Against Massachusetts Investment Adviser and its...

Deer Hill Financial Group and Stephen B. Blankenship – Fort Lauderdale, Florida Investment and Securities Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Deer Hill Financial Group, LLC, et al., Criminal No. 12-cr-00197-VLB (District of Connecticut) Defendant in SEC Enforcement Action Sentenced and Ordered to Pay Restitution The Securities and Exchange Commission announced recently...

Edward D. Jones & Co., L.P. d/b/a Edward Jones – Florida Fixed Income Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Edward D. Jones & Co., LP. d/b/a Edward Jones – St. Louis, Missouri: 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...

Freedom Investors Corp., Joel Reid Blumenschein and Gary Lee Gossett – Florida Penny Stock Fraud, Breach of Fiduciary and Breach of Heightened Supervision FINRA Arbitration and Litigation Attorney

Freedom Investors Corp. – Brookfield, Wisconsin, Joel Reid Blumenschein – Pewaukee, Washington and Gary Lee Gossett – Spokane, Washington: The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the...

Steven B. Hart – Florida Securities and Investment Trading Fraud FINRA Arbitration and Litigation Attorney

SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes The Securities and Exchange Commission recently charged a New York-based fund manager with conducting a pair of illegal trading schemes to financially benefit his investment fund...

Premco Western, Inc. and Rodney Ratheal – Florida Oil and Gas Fraud and Misrepresentation State and Federal Court Litigation Attorney

Securities and Exchange Commission v. Premco Western, Inc., et al., Civil Action No. 2:12-cv-01120-BSJ (USDC Utah, Filed December 10, 2012) SEC CHARGES OIL AND GAS COMPANY AND PRINCIPAL WITH OFFERING FRAUD Recently, the Securities and Exchange Commission filed a...

John W. Femenia, Shawn C. Hegedus, Aaron M. Wens, Matthew Musante, et. al. – Southwest Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney

SEC v. Femenia et al., Civil Action No. 3:12-cv-803-GCM (W.D.N.C.) SEC CHARGES 10 IN INSIDER TRADING RING AROUND INVESTMENT BANKER’S ILLEGAL TIPS ON IMPENDING MERGERS On December 5, 2012, the Securities and Exchange Commission charged an investment banker who...

Benjamin R. Daniels – Daytona Beach, Florida Securities and Investment Fraud FINRA Arbitration and Litigation Attorney

In the Matter of Benjamin R. Daniels On December 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial...

Guy M. Jean-Pierre – Pompano Beach, Florida Restricted Stock Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks The Securities and Exchange Commission recently announced charges against a Florida-based securities lawyer for issuing fraudulent attorney opinion letters that resulted in...

Claudio Osorio and Craig Toll – South Florida Securities and Investment Federal and State Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

SEC Charges Prominent Entrepreneur in Miami-Based Scheme The Securities and Exchange Commission recently charged a prominent Miami-based entrepreneur with defrauding investors by grossly exaggerating the financial success of his company that purportedly produced...