South Florida Arbitration & Litigation Lawyer Blog

United States Commodity Futures Trading Commission v. Hunter Wise Commodities, LLC., Hunter Wise Services, LLC., Hunter Wise Credit, LLC., Hunter Wise Trading, LLC., Lloyds Commodities, LLC., Lloyds Commodities Credit Company, LLC., Lloyds Services, LLC., C.D. Hopkins Financial, LLC., Hard Asset Lending Group, Blackstone Metals Group, LLC., Newbridge Alliance, Inc., and United States Capital Trust, LLC.,…

Rita Elizabeth Murray – Registered Representative, Larchmont, 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 enforcement action, firms and…

Thomas Edward Kelly – Registered Principal, Johnson City, 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 enforcement action, firms…

James Coy Keene – Registered Representative, Dallas, 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, firms and licensed…

Securities and Exchange Commission v. We The People, Inc., of The United States; Richard K. Olive and Susan L. Olive; William G. Reeves, Esq., Civil Action No. 2:13-cv-14050; 2:13-civ-14047; 2:13-cv-14048 SEC Charges We The People, Inc., of The United States and Three Individuals In Offering Fraud Scheme Recently, the Securities and Exchange Commission filed complaints…

Securities and Exchange Commission v. Howard Brett Berger and Michelle Berger, CV-12 4728 (E.D. N.Y. September 21, 2012) SEC Obtains Judgment Against Investment Adviser In Connection With Cherry-Picking Scheme The United States Securities and Exchange Commission (“Commission”) announced that on January 15, 2013, a final judgment was entered by consent against Howard B. Berger (“Berger”),…

Securities and Exchange Commission v. Delsa U. Thomas, et al., Civ. Action No. 3:13-cv-00739-L (N.D. Tex., Dallas Division, filed February 14, 2013) SEC Sues Dallas Investment Adviser Principal for Conducting a Fraudulent High-Yield Investment Scheme The Securities and Exchange Commission recently charged a Dallas investment adviser principal with defrauding investors out of $2.3 million in…

Securities and Exchange Commission v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants, Civil Action No. 10-CV-1720 (SDNY) (KBF) District Court Grants Securities and Exchange Commission’s Motions for Default Judgment against a Nationally Known Psychic and his Corporate…

SEC Charges N.Y.-Based Brokerage Firm with Defrauding Investors in a Clean Energy Company to Earn Lucrative Commissions The Securities and Exchange Commission recently announced fraud charges against a New York-based brokerage firm and two brokers who allegedly used misleading sales tactics to steer investors toward risky investments in a purported clean energy company so the…

Securities and Exchange Commission v. Timothy J. Roth, et al., Civil Action No. 11-cv-02079 (C.D. Ill.) Former Investment Adviser Sentenced to 12 Years for Misappropriating Client Assets The Securities and Exchange Commission recently announced that on January 31, 2013, the Honorable Michael M. Mihm of the United States District Court for the Central District of…