South Florida Arbitration & Litigation Lawyer Blog

In the Matter of Stephen B. Blankenship October, 2012: The United States Securities and Exchange Commission (Commission) recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order)…

Annuity – Florida Annuity and Insurance Fraud Litigation Attorney This post is designed to provide a general definition of the word annuity. It is being provided for general educational purposes only. Thus, it is not designed to be complete in all material respects. If the reader has any questions concerning the contents of this post,…

SEC Charges Four Brokers With Defrauding Customers in $18.7 Million Scheme: October, 2012: The Securities and Exchange Commission recently charged four brokers who formerly worked on the cash desk at a New York-based broker-dealer with illegally overcharging customers $18.7 million by using hidden markups and markdowns and secretly keeping portions of profitable customer trades. The…

Active Management – Florida Investment Advisor and Broker – Dealer Investment FINRA Arbitration and Litigation Attorney: What is “active” investment management? The purpose of this post is to provide the reader with general educational information relative to this concept. Please keep in mind that this post is not designed to be complete in all material…

Active Brokerage Account: The purpose of this post is to provide the reader with a general description of the phrase “active brokerage account.” Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this information should not be relied…

Lemon Bay Asset Management, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign…

Keystone Wealth Management, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals…

Highwater Ethanol, Inc.: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that…

Andrew Powell: Contact Us: With extensive courtroom, arbitration and mediation experience and an in-depth understanding of securities law, our firm provides all of our clients with the personal service they deserve. Handling cases worth $25,000 or more, we represent clients throughout Florida and across the United States, as well as for foreign individuals that invested…

Securities and Exchange Commission v. GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum, Civil Action No. 12-7927 (N.D. IL, filed October 3, 2012) SEC CHARGES CHICAGO-BASED INVESTMENT ADVISER AND ITS OWNERS FOR FRAUD The Securities and Exchange Commission recently charged Chicago-based GEI Financial Services, Inc. (GEI Financial), a registered investment adviser, and its owners,…