South Florida Arbitration & Litigation Lawyer Blog

False and Misleading Press Releases and Marketing Material (Pump and Dump) – Boca Raton, Florida FINRA Arbitration and Litigation Attorney SEC Charges Penny Stock Company Executives in New Jersey With Issuing False Press Releases to Inflate Stock Price The Securities and Exchange Commission recently charged father-and-son executives at a New Jersey-based penny stock company for…

Boca Raton and Delray Beach, Florida – Investment Scam, Investment Fraud, Misrepresentation and Elder Financial Abuse FINRA Arbitration and Litigation Attorney: When it comes to making an intelligent investment decision, nothing is fool-proof. However, there are some basic sales tactics that should turn your “red light” on. Some of the most common include: The “Phantom…

Boca Raton, Florida – Fraudulent Day Trading Scheme FINRA Arbitration and Litigation Attorney: SEC Charges Unregistered Broker in Tampa Area With Stealing From Investors in Fraudulent Day Trading Scheme The Securities and Exchange Commission recently charged an unregistered broker living outside Tampa, Fla., with stealing investor funds as part of a fraudulent day trading scheme.…

Boca Raton, Florida Real Estate Investment and Offering Fraud FINRA Arbitration and Litigation Attorney: SEC Charges Business Owner and Stockbroker in Maryland-Based Real Estate Offering Fraud The Securities and Exchange Commission today charged the owner of a Maryland-based real estate company with conducting an offering fraud and spending investor money on such personal expenses as…

SEC Order Approving FINRA Rule Change Relative to How Member Firms are Required to Calculate the Value of Unlisted Real Estate Investment Trusts and Direct-Participation Programs: The Sec has approved FINRA’s plan to overhaul how member firms calculate the value of unlised real estate investment trusts (“REITs”) and direct-participation programs (“DPPs”). Under the new rules…

Boca Raton, Florida Misappropriation and Theft Litigation and Arbitration Attorney: Securities and Exchange Commission v. Dennis F. Wright, Civil Action No. 1:14-cv-01896-SHR (M.D. Pa) Final Judgment and Administrative Order Entered Against Pennsylvania-Based Registered Representative Who Stole Funds from Customers The Securities and Exchange Commission (the “Commission”) recently announced that the United States District Court for…

Boca Raton, Florida Investment and Advertising Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney: SEC Charges Staten Island Man With Conducting Fraudulent Offerings and Stealing Investor Funds The Securities and Exchange Commission trecently charged the operator of an online stock recommendation business with conducting several fraudulent securities offerings and siphoning some of the money raised…

Bradley Thomas Badger – Boca Raton, Florida Account Executive Unapproved Outside Business Activity FINRA Arbitration and Litigation 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…

Luciano Andres Battioli – Boca Raton, Florida Account Executive Conversion and Theft FINRA Arbitration and Litigation 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…

Wealth Strategy Partners, LC, Harvey Altholtz, Stevens Resource Group, LLC and George Stevens – Boca Raton, Florida Investment Fund and Investment Advisor Fraud and Mismanagement Litigation and Arbitration Attorney Securities and Exchange Commission v. Wealth Strategy Partners, LC, et al., Civil Action No. 14-CV-02427-JDW-TGW SEC Charges General Partner and Investment Advisers to the Stealth and…