Taxable Municipal Bond – South Florida Bond Investment Fraud, Mismanagement and Misrepresentation, FINRA Arbitration and Litigation Attorney: A taxable municipal bond is a taxable debt obligation of a state or local governmental entity. Taxable municipal bond are issued as private purpose bonds to finance such projects as a sports stadium,…
South Florida Securities and Precious Metals FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. John Fowler, Jeffrey Fowler, and Julianne Chalmers, Civil Action No. 8:13-cv-1747-T-17TGW The Securities and Exchange Commission recently announced that it filed an enforcement action on July 5, 2013 against John Fowler, a convicted felon,…
Securities and Exchange Commission Sustains FINRA Disciplinary Action against Registered Representative and Supervisor The Securities and Exchange Commission has sustained disciplinary action by the Financial Industry Regulatory Authority (“FINRA”) against William J. Murphy and Carl M. Birkelbach, formerly associated with member firm Birkelbach Investment Securities, Inc. In its opinion, the…
City of South Miami, Florida – Tax Exempt Bond – Florida FINRA Arbitration and State and Federal Court Litigation Attorney: The Securities and Exchange Commission recently charged the City of South Miami, Fla., with defrauding bond investors about the tax-exempt financing eligibility of a mixed-use retail and parking structure being…
Hedge Fund Capital Partners, LLC. and Howard Gordon Jahre, Registered Principal, New York, New York: 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…
South Florida Senior, Elder and Retirement Financial Abuse and Exploitation FINRA Arbitration and Litigation Attorney: The Financial Industry Regulatory Authority (FINRA) is a self-regulatory authority responsible for overseeing the practices of securities broker dealers. For several years, FINRA has focused on firms’ fair dealings with senior investors, as well as…
South Florida Elder and Senior Financial Abuse and Breach of Fiduciary Duty Litigation FINRA Arbitration and Litigation Attorney: The North American Securities Administrators Association, Inc. (NASAA) has issued a post that sets forth 10 general tips to help you protect your nest egg. I have modified this list somewhat based…
Elder and Senior Investor Alert: Free Meal Seminars – Broker/Dealer Fraud, Mismanagement and Negligent Supervision Florida FINRA Arbitration and Litigation Attorney Free Lunch Seminars, Misleading Professional “Senior Specialist” Designations and Abuse Sales Practices: State securities regulators warn senior investors to be aware that a combination of “free lunch” seminars, misleading…