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Posts tagged "Common Stock Fraud"

Patrick G. Rooney, John R. Rooney and Positron Corporation - Boca Raton, Florida Market Manipulation and Investment Fraud Litigation and Arbitration Attorney

Patrick G. Rooney, John R. Rooney and Positron Corporation - Boca Raton, Florida Market Manipulation and Investment Fraud Litigation and Arbitration Attorney

Limit Order - South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Negligence, Breach of Contract, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney

Limit Order - South Florida Broker/Dealer, Investment Advisor and Account Executive Breach of Fiduciary Duty, Negligence, Breach of Contract, Mismanagement and Negligent Supervision FINRA Arbitration and Litigation Attorney:

FAQ's About Asset Allocation - South Florida Improper and Unsuitable Asset Allocation FINRA Arbitration and Litigation Attorney

South Florida Improper and/or Unsuitable Asset Allocation FINRA Arbitration, Federal and State Court Litigation Attorney:

Trade Execution / Markup and Markdown Fraud and Misrepresentation - South Florida FINRA Arbitration and Litigation Attorney

South Florida Transaction Markup, Markdown and Other Cost Fraud, Misrepresentation, Nondisclosure, Breach of Fiduciary Duty and False Disclosure FINRA Arbitration and Litigation Attorney:

Boiler Room, Penny Stock (Low Priced) and Ponzi Scheme Litigation and Arbitration Attorney

Florida Boiler Room, Penny Stock (Low Priced) and Ponzi Scheme FINRA Arbitration and State and Federal Court Litigation Attorney:

The Securities and Exchange Commission (Commission) Obtains Final Judgment against Defendants Charged with Perpetrating $35 Million International Boiler Room Scheme

Recnetly, the Commission announced that the United States District Court for the Central District of California entered a final, settled judgment against defendants Nicholas Louis Geranio, The Good One, Inc., and Kaleidoscope Real Estate, Inc. for their roles in a $35 million scheme to manipulate the market and to profit from the issuance and sale of certain U.S. companies' stock through offshore boiler rooms.

Common Stock, Preferred Stock, Corporate Bonds, Municipal Bonds, ETF's and Mutual Funds - South Florida Securities and Investment Fraud, Negligence and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Common Stocks, Preferred Stocks, Corporate Bonds, Municipal Bonds, Promissory Notes, Exchange-Traded Funds (ETF's), and Mutual Funds - South Florida Securities and Investment Fraud, Negligence and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney:

Broker - Dealers (How to Identify One) - Florida Securities and Investment Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

Miami, Fort Lauderdale, Boca Raton and West Palm Beach Florida Investment Fraud and Misrepresentation FINRA Arbitration, AAA Arbitration, JAMS Arbitration, State and Federal Court Litigation Attorney, Russell L. Forkey, Esq.

New Issue - Florida Securities and Investment Loss FINRA Arbitration and Litigation Attorney

New Issue - South Florida Common and Preferred Stock and Bond Investment Loss - FINRA Arbitration and Litigation Attorney:

Anthony John Johnson - Florida Civil Conspiracy and Investment Fraud FINRA Arbitration and Litigation Attorney

SEC Enforcement Proceedings:

Anthony John Johnson Sanctioned:

The Securities and Exchange Commission recently announced that Anthony John Johnson (Johnson) has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following an August 2011 conviction for conspiracy to commit securities, mail, and wire fraud and an August 2012 conviction for mail fraud. Some of his wrongdoing occurred between March 2002 and March 2003, while associated with Park Capital Securities, LLC, where he engaged in manipulative trading and where brokers under his direction engaged in misrepresentations and material omissions to induce customers to purchase and refrain from selling certain stock. From approximately August 2010 to April 2011, Johnson operated a Ponzi scheme while associated with RAHFCO Management Group LLC, an unregistered investment adviser.

Jorge Bravo, Jr. - "Wrap Around Agreements" - Florida Unregistered Sale of Securities Fraud Litigation and Arbitration Attorney

Securities and Exchange Commission v. Jorge Bravo, Jr., Civil Action No. 13-CV-5116 (PGG) (S.D.N.Y., July 23, 2013)

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