South Florida Arbitration & Litigation Lawyer Blog

Public Company Going Private – South Florida Securities and Investment Attorney Public Company Going Private: A publicly held company generally means a company that has a class of securities that is registered with the Securities and Exchange Commission because those securities are widely held or traded on a national securities exchange. When a public company…

Defunct Companies (“Microcap“) – Pump and Dump Scheme – Florida Securities Investment Fraud Attorney Defunct Companies: Can the Stock Continue to Trade? Even when a company is no longer in business, there may still be active trading in its stock. This is because companies that are no longer operating may still have outstanding registered stock,…

Veros Partners, Inc., Jeffrey B. Risinger and Tobin J. Senefeld – Boca Raton, Florida Investment Adviser and Private Offering Fraud and Misrepresentation Attorney Securities and Exchange Commission v. Veros Partners, Inc., et al., Civil Action No. 15-cv-000659-JMS-MJD (S.D.Ind., filed April 22, 2015) SEC Halts Fraudulent Farm Loan Scheme by Indianapolis Investment Adviser The Securities and…

SEC Halts Investment Scheme Targeting Military Personnel The Securities and Exchange Commission recently announced fraud charges and an asset freeze against a man living in central Texas accused of telling false tales about his stockbroking experience to lure current and former U.S. military personnel into investing with him. The SEC alleges that Leroy Brown Jr.…

South Florida Oil and Gas Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. GC Resources, LLC and Brian J. Polito, Civil Action No. 3:15-CV-0104-B, (NDTX, filed April 6, 2015) SEC Charges Oil and Gas Company and Founder with Fraud The Securities and Exchange Commission (“Commission”) filed suit against GC Resources, LLC…

Professional Athletes – South Florida Investment Fraud Litigation and Arbitration Attorney Securities and Exchange Commission v. Capital Financial Partners, LLC et al., Civil Action No. 15-cv-11447-IT SEC Obtains Asset Freezes in Ponzi Scheme Involving Loans to Professional Athletes The Securities and Exchange Commission recently announced fraud charges against a former professional football player and others,…

South Florida Life Settlement Fraud and Insurance, Mismanagement and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. Pacific West Capital Group Inc., et al., Civil Action No. 2:15-CV-02563 (C.D. Cal., filed April 7, 2015) SEC Charges Los Angeles-Based Pacific West Capital Group with Fraud in Sale of Life Settlement Investments The Securities and…

South Florida Broker-Dealer and Investment Advisory Firm Fraud and Misrepresentation Litigation and Arbitration Attorney Securities and Exchange Commission v. Warren D. Nadel et al., Civil Action No. 11-cv-0215 SEC Obtains Summary Judgment Against Warren D. Nadel, His Broker-Dealer and His Investment Advisory Firm The U.S. Securities and Exchange Commission recently announced that on April 2,…

Dean Esposito, Joseph DeVito, Frederick Birks and Joseph Azzata – Boca Raton, Florida Microcap Investment Fraud Litigation and Arbitration Attorney SEC Halts Microcap Scheme in South Florida The Securities and Exchange Commission recently announced fraud charges and an asset freeze against the operators of a South Florida-based microcap scheme, including three boiler room brokers caught…

Security and Investment Analyst – South Florida Security and Investment Fraud, Breach of Fiduciary Duty and Mismanagement Litigation Attorney: Factors to Consider in Analyzing Analyst Security and Investment Recommendations: Research analysts study publicly traded companies and make recommendations on the securities of those companies. Most specialize in a particular industry or sector of the economy.…