South Florida Arbitration & Litigation Lawyer Blog

William Sitz: 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…

Westpack Capital, Inc. and William A. Morgan: 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…

Revere Securities Corp.: 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…

State of Florida, Department of Financial Regulation Enforcement Action: 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…

State of Florida, Division of Financial Regulation Enforcement Action: 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…

Cantone Research, Inc. and Christine L. Cantone: 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…

SEC Charges New York Stock Exchange for Improper Distribution of Market Data NYSE Agrees to Settle Charges by Paying First-Ever SEC Financial Penalty Against An Exchange September, 2012: The Securities and Exchange Commission recently brought first-of-its-kind charges against the New York Stock Exchange for compliance failures that gave certain customers an improper head start on…

Braas and Schlager Sentenced to Lengthy Prison Terms and Ordered to Pay $53 Million in Restitution for Conducting Financial Fraud September, 2012: Recently, the Commission announced that on September 11 and 12, 2012, Joseph M. Braas, of Lititz, Pennsylvania, and Michael J. Schlager, of Lancaster, Pennsylvania, were sentenced in a criminal action for orchestrating a…

SEC Charges Connecticut-Based Broker With Stealing Investor Funds to Pay Mortgage and Shopping Bills September, 2012: The Securities and Exchange Commission recently charged a broker and his company based in Danbury, Conn., with stealing at least $600,000 from customers who he persuaded to withdraw money from their brokerage accounts he managed at other firms and…

SEC Charges Atlanta-Based Firm for Compliance Failures as Brokers Churned Customer Accounts September, 2012: The Securities and Exchange Commission recently charged three former brokers at an Atlanta-based brokerage firm for “churning” the accounts of customers with conservative investment objectives, causing severe investor losses while the brokers collected handsome fees. The SEC also charged the head…