Mutual Fund Fraud and Mismanagement – Florida FINRA Arbitration and Litigation Attorney

SEC Bans Arizona-Based Investment Adviser From Securities Industry For Fraudulent Actions In Mutual Fund Collapse The Securities and Exchange Commission recently barred an Arizona-based mutual fund manager from the securities industry for failing to follow the...

Raj Rajaratnam – Investment and Securities Fraud and Misrepresentation Florida FINRA Arbitration and State and Federal Litigation Attorney

Securities and Exchange Commission v. Rajat K. Gupta and Raj Rajaratnam, Civil Action No. 11-CV-7566 (SDNY) (JSR) SEC Obtains Final Judgment on Consent as to Raj Rajaratnam The Securities and Exchange Commission recently announced that, on December 26, 2012, the...

Kamal Abdallah and Eric Todd Seiden – South Florida Low Priced Stock (Penny Stock) Fraud and Breach of Fiduciary Duty FINRA Arbitration and State (Broward and Palm Beach County) and Federal Litigation Attorney

SECURITIES AND EXCHANGE COMMISSION v. ERIC TODD SEIDEN AND KAMAL ABDALLAH, Civil Action No. CV 09-3116 (KAM) (EDNY) COURT ENTERS FINAL JUDGMENTS BY CONSENT AGAINST SEC DEFENDANTS ERIC TODD SEIDEN AND KAMAL ABDALLAH The Securities and Exchange Commission recently...

Steven B. Hart – South Florida Securities and Investment Fraud and Misrepresentation FINRA Arbitration and State (Broward and Palm Beach County) and Federal Court Litigation Attorney

Securities and Exchange Commission v. Steven B. Hart, Civil Action No. 12-CV-8986 (S.D.N.Y.) SEC CHARGES NEW YORK-BASED FUND MANAGER WITH TWO WIDESPREAD FRAUDULENT TRADING SCHEMES SPANNING NEARLY FOUR YEARS The Securities and Exchange Commission recently charged New...

Danny Garber, Michael Manis, Kenneth Yellin and Jordan Feinstein – Florida Penny Stock Fraud and Misrepresentation FINRA Arbitration and State and Federal Litigation Attorney

Securities and Exchange Commission v. Danny Garber, Michael Manis, Kenneth Yellin, Jordan Feinstein, Aluma Holdings LLC, Azure Trading LLC, Coastal Group Holdings, Inc., Greyhawk Equities LLC, Leonidas Group Holdings LLC, The Leonidas Group LLC, Nismic Sales Corp.,...

John A. Geringer, Christopher A. Luck and Keith E. Rode – Florida Ponzi Scheme Securities and Investment Fraud FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. GLR Capital Management, LLC, GLR Advisors, LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P., Civil Action No. 12-02663 SEC FILES CHARGES AGAINST TWO OTHERS IN NORTHERN CALIFORNIA FUND MANAGER’S $60 MILLION...

Spencer Pharmaceutical, Inc., Jean-Francois Amyot, Maximilien Arella, Ian Morrice, IBA Media Inc. and Hilbroy Advisory, Inc. – Florida Penny Stock Fraud and Misrepresentation Federal and State Court Litigation Attorney

Securities and Exchange Commission v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc., Civil Action No. 1:12-cv-12334 (D. Mass.) SEC Charges Company based in Massachusetts and Canada and Other...

Collateralized Loan Obligations and Collateralized Debt Obligations – Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

SEC Charges Connecticut-Based Adviser for “Skin in the Game” Misstatements About CDOs The Securities and Exchange Commission recently charged a Connecticut-based investment adviser with falsely stating to clients that it was co-investing alongside them in...

Aletheia Research and Management and Peter J. Eichler, Jr. – Florida Broker/Dealer and Investment Advisor Cherry-Picking Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., United States District Court for the Central District of California, Civil Action No. 12-cv-10692-JFW-(RZx) SEC CHARGES SANTA MONICA-BASED HEDGE FUND MANAGER IN...