South Florida Arbitration & Litigation Lawyer Blog

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…

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…

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…

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…

Edward Jones to Pay 20 Million for Overcharging Retail Customers in Municipal Bond Underwritings – Boca Raton, Florida FINRA Arbitration Attorney Edward Jones to Pay $20 Million for Overcharging Retail Customers in Municipal Bond Underwritings The Securities and Exchange Commission recently announced that St. Louis-based brokerage firm Edward Jones and the former head of its…

South Florida Unregistered and Private Offering Fraud and Misrepresentation Litigation Attorney: Securities and Exchange Commission v. EnviraTrends, Inc., et al., Civil Action No. 8:15CV1903T27TGW (M.D. Fla., August 17, 2015) SEC Charges Development Stage Company and Founder in Unregistered Offering Fraud Scheme Recently, the Securities and Exchange Commission filed a settled civil injunctive action against Russell…

Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges Relating to the ASTA/MAT Fund and the Falcon Fund: The Securities and Exchange Commission recently announced that two Citigroup affiliates have agreed to pay nearly $180 million to settle charges that they defrauded investors in two hedge funds by claiming they were safe,…

Stockbroker and Account Executive Misconduct – Boca Raton, Florida Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney Securities and Exchange Commission v. Malcolm Segal, Civil Action No. 15-3668 (E.D. Pa.) SEC Charges Former Stockbroker with Conducting Ponzi Scheme The Securities and Exchange Commission recently charged a former stockbroker in Pennsylvania with conducting a Ponzi…

Pyramid/Ponzi Scheme – South Florida Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. DFRF Enterprises LLC, et al., Civil Action No. 1:15 cv 12857-PBS (United States District Court for the District of Massachusetts) SEC Halts Pyramid/Ponzi Scheme Targeting Spanish and Portuguese-Speaking Communities The Securities and Exchange Commission recently announced fraud charges…

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 The Securities and Exchange Commission recently announced fraud charges against a Wisconsin-based investment advisory…