South Florida Arbitration & Litigation Lawyer Blog

Securities and Exchange Commission v. New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al., Civil Action No. 3:13cv264 (D. Conn.) SEC Charges Connecticut Hedge Fund Managers With Securities Fraud Recently, the Securities and Exchange Commission filed a civil injunctive action in the…

Securities and Exchange Commission v. Dynkowski, et al., Civil Action No. 1:09-361 (D. Del.) Defendant Adam S. Rosengard Settles SEC Charges in Penny Stock Manipulation Case The Securities and Exchange Commission recently announced that Chief Judge Gregory M. Sleet of the United States District Court for the District of Delaware entered a final judgment against…

China-Based Company and Former CFO to Pay Penalties for Disclosure and Accounting Violations The Securities and Exchange Commission recently charged a China-based petrochemical company and its former chief financial officer with accounting and disclosure violations, and they agreed to pay more than $1 million combined to settle the charges. The SEC alleges that Keyuan Petrochemicals,…

Henry Everette Walker Jr. – Registered Principal, Clanton, Alabama: 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 enforcement action, firms and…

Scott Douglas Stephenson – Registered Representative, Grants Pass, Oregon: 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 enforcement action, firms and…

United States Commodity Futures Trading Commission v. Hunter Wise Commodities, LLC., et. al., Case No. 12-81311-Civ-Middlebrooks, Southern District of Florida. As a follow up to our recent post concerning the above referenced matter, the Court on February 25, 2013 followed its Order Appointing Special Corporate Monitor of February 22, 2013, by issuing its Order on…

Edward Antonio Salazar aka Ted Salazar – Registered Representative, Houston, Texas: 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 enforcement action,…

Enrique Roy – Registered Representative, Miami Beach, Florida: 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 enforcement action, firms and licensed…

Marty Edward Paul – Registered Supervisor, Gig Harbor, Washington: 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 enforcement action, firms and…

James Stuart Nesbit – Registered Representative, Virginia Beach, Virginia: 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 enforcement action, firms and…