South Florida Arbitration & Litigation Lawyer Blog

South Florida, including Boca Raton, West Palm Beach and Fort Lauderdale, Precious Metals and Securities Fraud and Misrepresentation Attorney: The below script gives the reader a flavor of what might be said in a typical unsolicited call from a precious metals telemarketer. However, please keep in mind that this is a generic example. Many varaiations…

South Florida Investment Fraud and Misrepresentation Litigation and Arbitration Attorney: SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales The Securities and Exchange Commission recently charged Oppenheimer & Co. with violating federal securities laws while improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheimer agreed to admit wrongdoing…

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 The Securities and Exchange Commission recently announced fraud charges and an asset freeze against a Fort…

Shawn Peter Bishop – Stockbroker and Account Executive Theft Fort Lauderdale, 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…

Ricky Eugene Bell – Boca Raton, Florida Unapproved Private Security and Unauthorized Loan Transaction 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…

Matthew King Absher – Boca Raton, Florida Unapproved Outside Business Activity 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…

Boca Raton and South Florida Oil and Gas Investment Fraud and Misrepresentation Litigation and Arbitration Attorney Oil and Gas Investment Programs: Most oil and gas investment opportunities, while involving varying degrees of risks to the investor, are legitimate in their marketing and responsible in their operations. However, as in many other investment opportunities, it is…

Miami, Fort Lauderdale, Boca Raton and West Palm Beach Florida Investment Fraud and Misrepresentation FINRA Arbitration, AAA Arbitration, JAMS Arbitration, State and Federal Court Litigation Attorney, Russell L. Forkey, Esq. Who may be classified as a “Broker”. Section 3(a)(4)(A) of the Securities and Exchange Act of 1934 (the “Act”) generally defines a “broker” broadly as…

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 On December 23,…

Private Placement – Private Offering – Boca Raton, Florida Investment Fraud and Misrepresentation Attorney: What is a private placement? A securities offering exempt from registration with the Securities and Exchange Commission (the “SEC”) is sometimes referred to as a private placement. Under the federal securities laws, a company or private fund may not offer or…