South Florida Arbitration & Litigation Lawyer Blog

Richard Joseph Buswell and Herbert Steven Fouke – Lafayette, Louisiana: 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…

George Samuel Baseluos – Long Beach, 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, firms and licensed individuals…

Richard Declan Bailey, Scituate, Massachusetts: 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 have the…

Carla Norah Amieiro: 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 have the responsibility to…

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 have the responsibility to reflect such action…

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 have the responsibility to reflect such action…

Securities and Exchange Commission v. A.L. Waters Capital, LLC, et al., Civil Action No. 12-cv-10783-DJC (District of Massachusetts) United States of America v. Arnett L. Waters, Criminal No. 12-cr-10336-DJC (District of Massachusetts) Defendant in SEC Action Charged by United States Attorney’s Office for the District of Massachusetts The Securities and Exchange Commission recently announced that…

U.S. Securities and Exchange Commission v. Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry, Civil Action No. 12-cv-02767, United States District Court, District of Colorado SEC CHARGES THREE INDIVIDUALS FOR THEIR ROLES IN A $5.77 MILLION INVESTMENT SCHEME Recently, the United States Securities and Exchange Commission charged Geoffrey H. Lunn, Darlene A. Bishop…

Securities and Exchange Commission v. Joseph J. Monterosso, et. al., Civil Action No. 07-61693 (S.D. Fla., initial complaint filed on November 21, 2007) District Court Orders More Than $3 Million In Remedies, Grants Motions For Disgorgement, Civil Penalties and Officer-And-Director Bars Against Timothy Huff, Lawrence Lynch, Joseph J. Monterosso, Luis Vargas Recently, the Securities and…

Securities and Exchange Commission v. The Investors Registry, LLC, and Michael J. Southworth, Civil Action No. [2:12-cv-02214-MEA] (D. Ariz., filed October 16, 2012). SEC Charges Arizona Man With Acting As An Unregistered Broker and Unlawful Touting The Securities and Exchange Commission recently announced that it filed a civil action in the United States District Court…