South Florida Arbitration & Litigation Lawyer Blog

Back-End Load: The purpose of this post is to provide the reader with a description of the investment phrase “back-end load.” Please keep in mind that this post is being provided for educational purposes only. Consequently, it is not designed to be complete in all material respects. Thus, it is should not be relied upon…

Securities and Exchange Commission v. James C. Mulholland, Jr. and Thomas S. Mulholland, Civil Action No. 12-cv-14663 (E.D. Mich., filed October 22, 2012) SEC Charges Two in Michigan-based Fraudulent Securities Offering The Securities and Exchange Commission recently announced that it filed a civil injunctive action against brothers James Mulholland and Thomas Mulholland accusing them of…

Short Sales, Selling Against the Box and Short Sale Restrictions: Whether or not you are an investor, you have probably heard of the concept of short selling. The purpose of this post is to provide the reader with general educational information about this type of trading. Please keep in mind that any information contained herein…

Annuity, Annuitant and Annuitize: The purpose of this post is to provide the reader with a brief description of what an annuity is and, as it relates to this type of product, the significance of the words “annuitant” and “annuitize.” Please keep in mind that this information is being provided for educational purposes only. Consequently,…

Ultralat Capital Markets, Inc. – Miami, 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 individuals…

Stifel, Nicolaus & Company, Incorporated – St. Louis, Missouri: 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…

In the Matter of Ryan M. Jindra Recently, the Securities and Exchange Commission (Commission) announced that the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Ryan M. Jindra (Jindra). The Order finds that during at least 2008…

SEI Investments Distribution Co. – Oaks, Pennsylvania: 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 individuals…

Global Transition Solutions, Inc. (Peoria Heights, Illinois) and James Edward Zogby (Placida, 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…

Midas Securities, LLC and Jay S. Lee – Anaheim Hills, California: 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,…