Bond Discount – Florida Bond Investment Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Bond Discount – Florida Bond Investment Breach of Fiduciary Duty, Breach of Contract and Negligence FINRA Arbitration and State and Federal Litigation Attorney: A bond discount is the amount by which the market price of a bond is lower than its face value. ...

Investor Alert Regarding Government Impersonators – Florida Elder Advocate Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

The Securities and Exchange Commission staff recently issued an Investor Alert in response to a number of fraudulent solicitations currently underway that purport to be affiliated with or sponsored by the federal government and legitimate securities regulators. If you...

John A. Grant – Florida Investment Advisor Fraud and Mismanagement Litigation Attorney

Securities and Exchange Commission v. John A. Grant, Sage Advisory Group, LLC and Benjamin Lee Grant, Civil Action No. 1:11-CV-11538 (GAO) (D. Mass.) SEC Obtains Final Judgment and Issues Administrative Orders Against John A. (“Jack”) Grant The Securities...

Florida-Based Stock Promoter Charged with Lying to SEC Investigators – Florida Securities and Private Placement Fraud and Mismanagement Litigation Attorney

The Securities and Exchange Commission recently announced that the subject of an enforcement inquiry in Florida has has been criminally charged for obstructing justice and lying to SEC investigators looking into his real estate securities offerings to investors. The...

Front Running – Florida Securities and Investment Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Commission Charges Dallas-Based Trader with Front-Running The Securities and Exchange Commission recently announced fraud charges and an asset freeze against a trader at a Dallas-based investment advisory firm who improperly profited by placing his own trades before...

SEC Charges NASDAQ for Failures During Facebook IPO – Florida Securities and Investment Violations FINRA Arbitration and Litigation Attorney

The Securities and Exchange Commission recently charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering (IPO) and secondary market trading of Facebook shares. NASDAQ has agreed to settle the...

Professional Negligence (Malpractice) Claims Against Accountants (CPA), Engineers, Surveyors, Architects and Others – Florida State and Federal Court Litigation and AAA Arbitration Attorney

Professional Negligence Claims Against Accountants, Engineers, Surveyors, Architects and Others – Florida State and Federal Litigation and AAA Arbitration Attorney: In Florida, professional negligence claims require four elements: (1) existence of a legal duty,...

Numismatic Coin – Florida Precious Metals and Numismatic Coin Fraud and Misrepresentation State and Federal Court Litigation Attorney

Numismatic Coin – Florida Precious Metals and Numismatic Coin Fraud and Misrepresentation State and Federal Court Litigation Attorney: A Numismatic Coin is a coin that is valued based on its rarity, age, the quantity originally produced, and condition. ...

Naked Option and Covered Option – Florida Securities Fraud, Misrepresentation, Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Naked Option – Florida Breach of Fiduciary Duty, Negligent Supervision and Mismanagement FINRA Arbitration and Litigation Attorney: A Naked Option is an option for which the buyer or seller has no underlying security position.  A writer of a naked Call...