South Florida Arbitration & Litigation Lawyer Blog

What are some of the ways that an investor may learn about a company involved in an IPO (Initial Public Offering)? An initial public offering (IPO) gives the investing public an opportunity to own and participate in the growth of a formerly private company. By their nature, however, IPOs can be risky and speculative investments.…

Securities and Exchange Commission v. Steven Palladino, et al., Civil Action No. 13-11024-DPW Commission Obtains Temporary Restraining Order and Asset Freeze Against Massachusetts Man Who Defrauded Investors of At Least $5.5 Million The Securities and Exchange Commission recently announced that, on April 30, 2013, it filed an emergency enforcement action in federal district court in…

Securities and Exchange Commission v. Inter Reef, Ltd. dba Profitable Sunrise, Melland Company S.R.O., Color Shock S.R.O., Solutions Company S.R.O. and Fortuna-K S.R.O., Civil Action No. 1:13-CV-1104 (U.S. District Court for the Northern District of Georgia) Court Enters Preliminary Injunction Against Inter Reef d/b/a Profitable Sunrise and Extends Asset Freeze Order Recently, the Honorable Thomas…

Securities and Exchange Commission v. True North Finance Corp., et al., Civil Action No. 10-cv-3995 (D. Minn., filed Sept. 21, 2010) Final Judgments Entered Against Distributor and Investment Adviser The Securities and Exchange Commission recently announced that a Minnesota federal court entered final judgments by consent against Michael Bozora, Timothy Redpath, Capital Solutions Distributors, LLC…

Securities and Exchange Commission v. Jeffrey Stebbins and Corbin Jones, Civil Action No. CV 13-755-PHX-SRB SEC Charges Two Arizona-Based Brokers with Defrauding Investors in Tankless Water Heater Venture The Securities and Exchange Commission recently filed a complaint in the United States District Court for the District of Arizona, charging two former brokers in Arizona with…

Securities and Exchange Commission v. City of Victorville, et al., Civil Action No. EDCV 13-776 JAK (DTBx) (C.D. Cal., filed April 29, 2013) SEC Charges City of Victorville, Underwriter, and Others with Defrauding Municipal Bond Investors The Securities and Exchange Commission recently charged that the City of Victorville, Calif., a city official, the Southern California…

Securities and Exchange Commission v. USA Real Estate Fund 1, Inc. and Daniel F. Peterson, Civil Action No. CV-13-157-LRS (E.D. Washington, filed Apr. 24, 2013) SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of Jobs Act The Securities and Exchange Commission recently announced fraud charges against a Spokane Valley, Wash., company and its…

Securities and Exchange Commission v. Hilton, et al.., Civil Action No. 12-CV-81033-DMM/DLB District Court Enters Permanent Injunction Against Defendants Joseph Hilton, F/K/a Joseph Yurkin and New Horizon Publishing Inc. The Securities and Exchange Commission recently announced that on February 28, 2013, the United States District Court for the Southern District of Florida entered a Judgment…

Securities and Exchange Commission v. Joshua Constantin, Brian Solomon, and Windham Securities, Inc. and Relief Defendants Constantin Resource Group, Inc. and Domestic Applications Corp.,, Civil Action No. 1:11-cv-4642 (MHD) (filed July 6, 2011) Court Finds Brokerage Firm and Two Former Executives Liable for Over $2.74 Million in a Fraudulent Misappropriation Case The Securities and Exchange…

RBC Capital Markets Corporation nkn RBC Capital Markets, LLC, New York, New York: 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 and…