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.)
Leverage Abuse, Exploitation and Manipulation - South Florida State and Federal Fraud, Misrepresentation and Breach of Contract 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.
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 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)
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:
SEC Charges Three South Florida Residents With Operating A Multi-Million Dollar Ponzi Scheme And Affinity Fraud Targeting Haitian-Americans
South Florida Peer-to-Peer Lending Litigation and Arbitration Attorney: