Securities and Securities Fraud

Pyramid Scheme Fraud – South Florida Pyramid Scheme and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Published on: October 6, 2015 | By Russell L. Forkey, P.A.

Pyramid Scheme and Other Investment Frauds – South Florida Pyramid Scheme and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Steve Chen, et al., Civil Action No. CV 15-07425 (C.D. Cal., filed September 22, 2015)

Securities and Exchange Commission v. Steve Chen, et al.

Securities and Investment Advisor Fraud – South Florida Securities Fraud and Mismanagement Litigation Attorney

Published on: September 27, 2015 | By Russell L. Forkey, P.A.

Securities and Investment Advisor Fraud – South Florida Securities Fraud, Breach of Fiduciary Duty and Mismanagement Litigation and Arbitration Attorney

Securities and Exchange Commission v. Jason W. Galanis, Civil Action No. 1:15-cv-07547 (Southern District of New York, Complaint filed Sept. 24, 2015)

SEC Charges Six in Stock Fraud Scheme

Manny Shulman and David K. Hirschman – Boca Raton, Florida Unregistered Securities Fraud and Misrepresentation Attorney

Published on: September 9, 2015 | By Russell L. Forkey, P.A.

Manny Shulman and David K. Hirschman – Boca Raton, Florida Unregistered Securities Fraud and Misrepresentation Litigation and Arbitration Attorney

Securities and Exchange Commission v. Manny J. Shulman and David K. Hirschman, Civil Action No. 0:15-cv-61861-WJZ (U.S. District Court for the Southern District of Florida, Sept. 3, 2015)

On September 3, 2015, the Securities and Exchange Commission (“Commission”) charged Manny J. Shulman and David K. Hirschman for their involvement in the fraudulent, unregistered sale of securities of Caribbean Pacific Marketing, Inc. (“Caribbean Pacific”), a now-defunct Florida corporation that purported to be a sun-care and skin-care products start-up company. The Commission also charged Shulman for making misstatements and omissions in Caribbean Pacific’s registration statement.

John Cherry III – Conversion of Client Funds, Fraud and Misrepresentation Boca Raton, Florida FINRA Arbitration Attorney

Published on: August 23, 2015 | By Russell L. Forkey, P.A.

John Cherry III – Conversion of Client Funds, Fraud and Misrepresentation Boca Raton, Florida FINRA Arbitration Attorney:

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 event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

The monthly disciplinary information is referenced on the FINRA site generally in alphabetical order. This post relates to the following company or individuals. If the reader would like to review the entire FINRA release or the broker-check information concerning this matter, you can follow these highlighted links:

Mark Welhouse and Welhouse & Associates, Inc. – South Florida Improper Trade Allocation and Cherry-Picking FINRA Arbitration and Litigation Attorney

Published on: June 29, 2015 | By Russell L. Forkey, P.A.

Mark Welhouse and Welhouse & Associates, Inc. – South Florida Improper Trade Allocation and Cherry-Picking FINRA Arbitration and Litigation Attorney

SEC Announces Cherry-Picking Charges Against Investment Manager

Case Arises From Enforcement Initiative Analyzing Large Volumes of Investment Advisers’ Trade Allocation Data

North Dakota Developments, LLC., Robert L. Gavin and Daniel J. Hogan – South Florida Securities and Investment Fraud and Commercial Litigation Attorney

Published on: May 25, 2015 | By Russell L. Forkey, P.A.

North Dakota Developments, LLC., Robert L. Gavin and Daniel J. Hogan – South Florida Securities and Investment Fraud and Commercial Litigation Attorney:

Securities and Exchange Commission v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al., Civil Action No. 4:15-cv-00053-DLH-CSM (D.N.D.)

SEC Halts Bakken Oil and Gas-Related Investment Scheme

David Craven and Alex Craven – American Energy Development Corp. – Microcap Security and Investment Fraud and Misrepresentaiton Litigation Attorney

Published on: March 13, 2015 | By Russell L. Forkey, P.A.

South Florida, including Boca Raton, West Palm Beach and Royal Palm Beach Microcap Investment and Security Fraud and Misrepresentation Litigation Attorney

Securities and Exchange Commission v. David Carven et. a. Civil Action No. 15-cv-1820 (S.D.N.Y.)

SEC Files Emergency Action Against Father and Son Behind Pump and Dump Scheme, Obtains Asset Freeze

Frederic Elm and Elm Tree Investment Advisors – Boca Raton, Florida Securities and Investment Fund Fraud and Misrepresentation Attorney

Published on: January 22, 2015 | By Russell L. Forkey, P.A.

Boca Raton, Florida Securities and Investment Fund Fraud and Misrepresentation Litigation and Arbitration Attorney:

Securities and Exchange Commission v. Frederic Elm f/k/a Frederic Elmaleh, et al., Case No. 15-cv-60082-DIMITROULEAS/SNOW

SEC Charges Investment Adviser and Manager in South Florida-Based Fraud

Efstratios D. Argyropoulos and Prima Capital Group, Inc. – Boca Raton, Florida Stock Promoter Fraud and Misrepresentation Attorney

Published on: December 28, 2014 | By Russell L. Forkey, P.A.

Efstratios D. Argyropoulos and Prima Capital Group, Inc. – Boca Raton, Florida Stock Promoter Fraud and Misrepresentation Attorney

Securities and Exchange Commission v. Efstratios “Elias” D. Argyropoulos and Prima Capital Group, Inc., Civil Action No. 2:14-cv-09800 (C.D. Cal.)

SEC Charges Stock Promoter with Fraudulent Scheme Related to Pre-IPO Facebook and Twitter Shares

Oil and Gas Offering Fraud – Fraudulent Stock Manipulation – False and Misleading Press Releases

Published on: December 15, 2014 | By Russell L. Forkey, P.A.

Boca Raton, Florida – Oil and Gas Offering Fraud – Fraudulent Stock Manipulation – False and Misleading Press Releases

SEC Charges New Orleans Oil-And-Gas Company with Fraudulent Stock Manipulation

Securities and Exchange Commission v. Treaty Energy Corporation, et al., Civil Action No. 4:14-cv-00812 (E.D. Tex., filed December 15, 2014)