SEC Enforcement Actions 2016

Stifel, Nicolaus & Co., Inc. and David Noack – South Florida Unsuitable Investment and Breach of Fiduciary Duty Litigation and Arbitration Attorney

Published on: December 16, 2016 | By Russell L. Forkey, P.A.

Stifel, Nicolaus & Co., Inc. and David Noack – South Florida, including Fort Lauderdale, Deerfield Beach, Pompano Beach and Boca Raton, Unsuitable Investment and Breach of Fiduciary Duty Litigation and Arbitration Attorney

Securities and Exchange Commission v. Stifel, Nicolaus & Co., Inc., et al., Civil Action No. :11-cv-755 (E.D. Wis. filed Aug. 10, 2011)

Stifel, Nicolaus and Former Stifel Executive Pay Over $24.5 Million and Admit Wrongdoing in Connection with the Sale of Synthetic CDOs to Wisconsin School Districts

Richard G. Cody – Boca Raton, Florida Elder Financial Abuse and Breach of Fiduciary Duty Litigation and Arbitration Attorney

Published on: December 16, 2016 | By Russell L. Forkey, P.A.

Richard G. Cody – South Florida, including Boca Raton, Boynton Beach, Lake Worth and West Palm Beach, Elder Financial Abuse and Breach of Fiduciary Duty Litigation and Arbitration Attorney Russell L. Forkey, Esq.

Securities and Exchange Commission v. Richard G. Cody, et al., Civil Action No. 16-cv-12510-FDS (D. Mass., filed Dec. 12, 2016)

SEC Charges Investment Adviser with Defrauding Massachusetts Retirees

Rafael Antonio Calleja, Jr. – South Florida Sale of Unregistered Securities Attorney

Published on: December 5, 2016 | By Russell L. Forkey, P.A.

South Florida Sale of Unregistered Securities Litigation Attorney.

Securities and Exchange Commission v. Rafael Antonio Calleja, Jr., Civil Action No. 16-CV-24872-KMW (S.D. Fla. filed November 22, 2016)

SEC Charges Naples, Florida Resident with Misappropriating Investor Funds

Trading Program Fraud – South Florida Trading Program Fraud and Misrepresentation Litigation Attorney

Published on: June 1, 2016 | By Russell L. Forkey, P.A.

Trading Program Fraud – South Florida Trading Program Fraud and Misrepresentation Litigation Attorney

Securities and Exchange Commission v. David B. Kaplan, Esq., et al., Civil Action No. 3:16-cv-00270 (D. Nevada-Reno filed May 19, 2016)

SEC Obtains Asset Freeze Against Attorney Accused of Misrepresenting Investments and Misappropriating Investor Funds

Pre-IPO Stock Fraud – Boca Raton, Florida Penny Stock Fraud Litigation and Arbitration Attorney

Published on: June 1, 2016 | By Russell L. Forkey, P.A.

Pre-IPO Stock Fraud – Boca Raton, Florida Penny Stock Fraud Litigation and Arbitration Attorney

Securities and Exchange Commission v. JSG Capital Investments, LLC, et al., Civil Action No. 3:16-cv-02814 (N.D. Ca.)

SEC Halts Ponzi Scheme Aimed At Middle Class

Professional Athletes Beware Of Placing Too Much Trust In Your Financial Advisors – South Florida Financial Advisor Litigation and Arbitration Attorney

Published on: May 19, 2016 | By Russell L. Forkey, P.A.

Professional Athletes Beware Of Placing Too Much Trust In Your Financial Advisors – South Florida Financial Advisor Litigation and Arbitration Attorney

SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners

The Securities and Exchange Commission recently announced fraud charges against a Pittsburgh, Pa.-based financial adviser accused of taking money without permission from the accounts of several professional athletes in order to invest in movie projects and make Ponzi-like payments.

Common Stock Buyers Beware – Boca Raton, Florida Securities Litigation and Arbitration Attorney

Published on: May 19, 2016 | By Russell L. Forkey, P.A.

Common Stock Buyers Beware – Boca Raton, Florida Securities Litigation and Arbitration Attorney

SEC Charges Shell Factory Operators With Fraud

The Securities and Exchange Commission (SEC) recently announced fraud charges against a California stock promoter and a New Jersey lawyer who allegedly were creating sham companies and selling them until the SEC stopped them in their tracks.

Ross McLellan – South Florida Unauthorized and Fraudulent Mark-Up FINRA Arbitration and Litigation Attorney

Published on: May 19, 2016 | By Russell L. Forkey, P.A.

Ross McLellan – South Florida Unauthorized and Fraudulent Mark-Up FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Ross McLellan, Civil Action No. 16-cv-10874 (D. Mass. filed May 13, 2016)

SEC Charges Former Executive of Massachusetts-Based State Street Corporation with Defrauding Investors

Boca Raton Florida Penny Stock Fraud and Misrepresentation Litigation and Arbitration Attorney

Published on: April 25, 2016 | By Russell L. Forkey, P.A.

Boca Raton Florida Penny Stock Fraud and Misrepresentation Litigation and Arbitration Attorney

Securities and Exchange Commission v. Fortitude Group, Inc., et al., Civil Action No. 1:16-cv-00050-SPB (W.D. Pa. filed Feb. 29, 2016)

Securities and Exchange Commission v. Strategic Global Investments, Inc., et al., Civil Action No. 3:16-cv-00514-H-JLB (S.D. Ca. filed Feb. 29, 2016).

Nathanial Ponn – South Florida Common and Preferred Stock Fraud and Misrepresentation Litigation and Arbitration Attorney

Published on: April 4, 2016 | By Russell L. Forkey, P.A.

Nathanial Ponn – South Florida Common and Preferred Stock Fraud and Misrepresentation Litigation and Arbitration Attorney

Securities and Exchange Commission v. Nathanial D. Ponn, Civil Action No. 16-10624-GAO (D. Mass. filed March 31, 2016)

The Securities and Exchange Commission recently announced fraud charges against Massachusetts resident Nathanial D. Ponn for engaging in a scheme to defraud numerous broker-dealers over more than seven years.