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Posts tagged "Securities Fraud"

Charles H. Merchant, Sr. and Southern USA Resources, Inc. - Florida Security and Investment Fraud, Misrepresentation and False Filing FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Charles H. Merchant, Sr. and Southern USA Resources, Inc., Civil Action No. 1:13-cv-3879-SCJ (N.D. Ga.)

Margin - Leverage Abuse and Exploitation - South Florida Leverage and Margin Abuse, Exploitation and Manipulation FINRA Arbitration and Litigation Attorney

Leverage Abuse, Exploitation and Manipulation - South Florida State and Federal Fraud, Misrepresentation and Breach of Contract Attorney:

SEC Charges NASDAQ for Failures During Facebook IPO - Florida Securities and Investment Violations FINRA Arbitration and Litigation Attorney

The Securities and Exchange Commission recently charged NASDAQ with securities laws violations resulting from its poor systems and decision-making during the initial public offering (IPO) and secondary market trading of Facebook shares. NASDAQ has agreed to settle the SEC's charges by paying a $10 million penalty - the largest ever against an exchange.

Florida Securities and Investment Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

SEC Files Settled Insider Trading Charges Against Former Trader Eric Rogers

The Securities and Exchange Commission recently filed a settled civil enforcement action against Eric Rogers, a former proprietary trader at the now-defunct registered broker-dealer Spectrum Trading, LLC, charging Rogers with using inside information to trade ahead of the September 28, 2007 announced acquisition of 3Com Corp.

Securities Fraud and Insider Trading - Florida Securities Fraud Litigation and FINRA Arbitration Attorney

SEC Charges Bristol-Myers Squibb Executive With Insider Trading in Stock Options of Potential Acquisition Targets

Penny Stock Fraud and Misrepresentation Florida FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Jerry S. Williams, Monk's Den, LLC, and First In Awareness, LLC, 3:12-cv-01068 (District of Connecticut, Complaint filed July 20, 2012)

Affinity Fraud: Beware of Con-Artists Who Claim Loyalty to Your Group - South Florida Affinity Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

South Florida, including Boca Raton, West Palm Beach, Stuart and Jupiter, Affinity Fraud and Misrepresentation , Especially in the Area of Elder Abuse, FINRA Arbitration and Litigation Attorney:

HomePals Investment Club is a Recent Example of Securities Affinity Fraud - Targeting Haitian - Americans

SEC Charges Three South Florida Residents With Operating A Multi-Million Dollar Ponzi Scheme And Affinity Fraud Targeting Haitian-Americans

Peer-to-Peer Lending - Florida Breach of Fiduciary Duty and Negligent Supervision FINRA Arbitration and Litigation Attorney

South Florida Peer-to-Peer Lending Litigation and Arbitration Attorney:

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