South Florida Third Party 401(k) Plan Administrator Fraud and Misrepresentation Litigation Attorney: The Florida Office of Financial Regulation (OFR) recently announced the March 9 arrest of James Allen Hall in Kansas by the Crawford County Sheriff’s Office. Hall has been charged with grand theft, and he is currently awaiting extradition to Florida.…
Articles Posted in State Regulatory Enforcement Actions
Registration of Dealers, Associated Persons and Investment Advisers in Florida – South Florida Securities Attorney
Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida – South Florida Securities Attorney: Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that: (1) No dealer, associated person, or issuer of securities shall sell or offer for sale any…
Johan Mary-Lyn Akal – South Florida Insurance Fraud, Regulation, Misrepresentation and Negligence Litigation and Arbitration Attorney
State of Florida Insurance Fraud, Regulation, Misrepresentation, and Negligence Litigation and Arbitration Attorney: In the Matter of Johan Mary-Lyn Akal, Case No.: 140353-13-AG: On September 20, 2013, the Florida Department of Financial Services (“Department”) issued a Consent Order against Johan Mary-Lyn Akal, which, in part, required the Respondent to surrender…
Lemon Bay Asset Management, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
Lemon Bay Asset Management, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States,…
Keystone Wealth Management, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
Keystone Wealth Management, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as…
Highwater Ethanol, Inc. – State of Florida, Department of Financial Regulation Enforcement Action
Highwater Ethanol, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well…
Andrew Powell – State of Florida, Department of Financial Regulation Enforcement Action
Andrew Powell: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as…
Wentley Financial Services – State of Florida, Department of Financial Regulation Enforcement Action
Wentley Financial Services: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well…
Premier Wealth Management, LLC. – State of Florida, Department of Financial Regulation Enforcement Action
Premier Wealth Management, LLC.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as…
Pointe Atlantic, Inc., Aspen Capital Partners, LLC., and Peter Martin Peterson – State of Florida, Department of Financial Regulation Enforcement Action
Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign…