False and Misleading Sales and Promotional Materials – Florida Investment Adviser Fraud and Misrepresentation Litigation and Arbitration Attorney

Florida Investment Advisor and Broker/Dealer False and Misleading Offering and Promotional Materials Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: Securities and Exchange Commission v. Patrick G. Rooney and Solaris Management, LLC, Civil...

Unregistered Offer and Sale of Securities – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney

Offer and sale of securities sold in violation of the registration provisions of Section 5 of the Securities Act of 1933 – South Florida Unregistered Sale of Securities Litigation and Arbitration Attorney: Securities and Exchange Commission v. Dawn...

Trade Execution / Markup and Markdown Fraud and Misrepresentation – South Florida FINRA Arbitration and Litigation Attorney

South Florida Transaction Markup, Markdown and Other Cost Fraud, Misrepresentation, Nondisclosure, Breach of Fiduciary Duty and False Disclosure FINRA Arbitration and Litigation Attorney: The Securities and Exchange Commission recently announced fraud charges...

Collateralized Debt Obligation (CDO) – South Florida Investment Advisory Firm Fraud, Misrepresentation and Breach of Fiduciary Duty Arbitration and Litigation Attorney

South Florida Investment Advisor Fraud, Breach of Contract, Breach of Fiduciary Duty and Mismanagement Litigation and Arbitration Attorney: The Securities and Exchange Commission recently charged the managing partners of a Charlotte, N.C.-based investment advisory...

Accounting Negligence and Fraud – South Florida Accounting Fraud, Misrepresentation, Negligence and Breach of Fiduciary Duty Arbitration and Litigation Attorney

South Florida Accounting, Fraud, Negligence, Breach of Contract and Misrepresentation Litigation and Arbitration Attorney: Securities and Exchange Commission v. Michael H. Taber, CPA, Civil Action No. 13-mc-0282 (S.D.N.Y. filed Aug. 8, 2013) SEC Awarded $400,000 in...

South Florida Prime Bank and Overseas Debt Instruments Fraud and Misrepresentation Attorney

South Florida Prime Bank and Overseas Debt Instruments Fraud and Misrepresentation Litigation and Arbitration Attorny: Securities and Exchange Commission v. Malom Group AG, Martin U. Schläpfer, Hans-Jürg Lips, et al., Civil Action No. 2:13-cv-2280 (D. Nev. Dec. 16,...

Arcturus Corporation and Aschere Energy LLC. – South Florida Oil and Gas Securities Fraud and Misrepresentation Litigation and Arbitration Attorney

South Florida Unregistered Securities, Joint Venture and Securities Misrepresentation and Litigation Attorney: Securities and Exchange Commission v. Arcturus Corporation, et al., Civil Action No. Civ. Action No. 3:13-cv-04861-K (N.D. Tex., Dallas Division, filed...

Robert A. Helms and Janniece S. Kaelin – Florida Oil and Gas Ponzi Scheme Litigation and Arbitration Attorney

Florida Oil and Gas Fruad, Misrepresentation and Ponzi Scheme Litigation and Arbitration Attorney: The Securities and Exchange Commission recently announced charges and an emergency asset freeze against the perpetrators of a Texas-based Ponzi scheme involving...

Florida Penny (Microcap) Stock and Regulation D Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

The Securities and Exchange Commission recently charged a New York-based penny stock financier and his firms with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed to register them before they were...

Charles H. Merchant, Sr. and Southern USA Resources, Inc. – Florida Security and Investment Fraud, Misrepresentation and False Filing FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Charles H. Merchant, Sr. and Southern USA Resources, Inc., Civil Action No. 1:13-cv-3879-SCJ (N.D. Ga.) SEC Charges Alabama Based Defendants with Securities Fraud and Reporting Violations Recently, the Securities and Exchange...