Fort Lauderdale, Boca Raton, Delray Beach, Lantana, Lake Worth and West Palm Beach, Florida Elder Financial Abuse and Exploitation Litigation and FINRA Arbitration Attorney: SEC Charges Virginia-Based Broker With Stealing Funds From Elderly Customers The Securities and Exchange Commission recently charged a broker based in Roanoke, Va., with defrauding elderly…
Boiler Room and Securities Fraud and Misrepresentation Litigation and Arbitration Attorney – West Palm Beach, Boca Raton and Fort Lauderdale, Florida. Securities and Exchange Commission v. DDBO Consulting, Inc., et al., Civil Action No. 0:14-cv-61685-MGC (S.D. F.L.) Securities and Exchange Commission v. CalPacific Equity Group, LLC, et al., Civil Action…
Accounting Malpractice and Negligence – Boca Raton, West Palm Beach and Fort Lauderdale, Florida Commercial Litigation and Elder Financial Abuse Attorney: SEC Charges Bank Holding Company in Delaware with Improper Accounting and Disclosure of Past Due Loans The Securities and Exchange Commission recently announced accounting and disclosure fraud charges against…
South Florida, including West Palm Beach and Boca Raton Investment Advisor Conflict of Interest FINRA Arbitration and Litigation Attorney: Houston-Based Investment Advisory Firm and Co-Owners Charged With Failing to Disclose Conflict of Interest to Clients The Securities and Exchange Commission recently announced fraud charges against a Houston-based investment advisory firm…
South Florida, including Boca Raton, Delray Beach, Lantana, West Palm Beach and Fort Lauderdale, Florida Accounting Fraud, Misrepresentation and Negligence Litigation Attorney: California-Based Telecommunications Equipment Firm and Two Former Executives Charged in Revenue Recognition Scheme The Securities and Exchange Commission recently announced charges against a Newport Beach, Calif.-based telecommunications equipment…
Microcap, Penny Stock and IPO Fraud and Misrepresentation Pump and Dump Scheme Litigation and Arbitration Attorney: SEC Announces Charges in Houston-Based Scheme Touting Technology to End Fracking The Securities and Exchange Commission recently announced charges against a Houston-based penny stock company and four individuals behind a pump-and-dump scheme that misled…
Securities, Including Stocks and Bonds Custodian Fraud, Mismanagement and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Julian R. Brown and Alliance Investment Management Limited, Civil Action No. 14-CV-6130 (N.D. Ill., filed August 8, 2014) SEC Charges Bahamas-Based Brokerage Firm and President with Facilitating Fraudulent Scheme by…
Microcap and Penny Stock South Florida Litigation and Arbitration Attorney: Securities and Exchange Commission v. BIH Corporation, et al., Civil Action No. 2:10-CV-577-FTM-29DNF (M.D. FL) Jury Finds Orchestrator of Microcap Stock Pump-And-Dump Scheme Liable in SEC Enforcement Case A federal court jury in Fort Myers, Fla., returned a unanimous verdict…
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: Securities and Exchange Commission v. John Thornes, Defendant, and Christopher Burnell, Kyle Larick, and Doreen Thornes, Relief Defendants, Civil Action No. 14-cv-06088 (C.D.…
Hollywood, Dania, Fort Lauderdale, Pompano Beach and Deerfield Beach, Florida Improper Markup Corporate Bond FINRA Arbitration and Litigation 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…