South Florida Arbitration & Litigation Lawyer Blog

SEC Enforcement Action: In the Matter of Bradford Keith Dent On September 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Bradford Keith Dent. Dent was a registered representative with Carty & Company, a broker-dealer with offices in Memphis, Tennessee registered with…

SEC v. Rudolf D. Pameijer, et al., United States District Court for the Southern District of Indiana (Case No. 1:12-CV-01364) (S.D. In.) September, 2012: SEC CHARGES FOUR DEFENDANTS IN FRAUDULENT INVESTMENT SCHEME The Securities and Exchange Commission recently announced that it filed a complaint in the United States District Court for the Southern District of…

Securities and Exchange Commission v. Yusaf Jawed, Grifphon Asset Management, LLC, Grifphon Holdings, LLC, and Robert P. Custis, Civil Action No. 12-1696 (U.S. District Court for the District of Oregon, filed September 20, 2012) Securities and Exchange Commission v. Jacques Nichols, Civil Action No. 12-1698 (U.S. District Court for the District of Oregon, filed September…

Wynn Investments: 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…

Cochrane & Co., P.A. 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…

SEC Charges Atlanta-Based Adviser with Operating Ponzi-Like Scheme Involving Private Investment Funds September, 2012: The Securities and Exchange Commission recently announced charges against a private fund manager and his Atlanta-based investment advisory firm for defrauding investors in a purported “fund-of-funds” and then trying to hide trading losses by creating new private funds to make money…

SEC Charges Former CEO and Chairman of Mamtek, U.S. with Fraud in the Offer and Sale of Municipal Bonds September, 2012: The Securities and Exchange Commission recently filed suit in U.S. District Court for the Central District of California, charging former CEO and chairman of Mamtek U.S., Bruce Cole, with fraud related to the offer…

SEC Charges Chicago-Based Investment Firm with Misleading Investors in Private Equity Offerings September, 2012: Recently, The Securities and Exchange Commission charged the co-founder of a Chicago-based investment firm with misleading investors in two private equity offerings, and charged the other co-founder with supervisory failures related to the offerings. Advanced Equities Inc. – a broker-dealer and…

SEC Obtains Asset Freeze and Other Relief in Microcap Fraud: September, 2012: Recently, the Securities and Exchange Commission obtained a temporary restraining order against future violations of the antifraud, issuer reporting, books and records, internal controls and officer certification provisions of the federal securities laws. It is alleged these violations occurred in furtherance of a…

Wisconsin Energy Corporation: 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…