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Posts tagged "Investment Advisor Fraud"

Registration of Dealers, Associated Persons and Investment Advisers in Florida - South Florida Securities Attorney

Registration of Dealers, Associated Persons, and Investment Advisers in the State of Florida - South Florida Securities Attorney:

Chaper 517.12 Fla.Stat. labeled Registration of dealers, associated persons, and investment advisers provides in relevant part that:

Do CFPs Have to Register as an Investment Adviser in Florida - Delary, Deerfield Beach, Boca Raton and Boynton Beach, Florida FINRA Arbitration, Litigation and Elder Abuse Attorney

Do CFPs have to register as an Investment Adviser in Florida - Delray, Boynton Beach, Lantana, Boca Raton and West Palm Beach FINRA Arbitration, Litigation and Elder Abuse Attorney:

Any person who for compensation refers, solicits, offers, or negotiates for the purchase or sale of investment advisory services is required to be registered in Florida, regardless of their professional designation as a Investment Adviser and/or Associated Person of a broker/dealer.

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:

South Florida Investment Adviser Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

Tampa, Fort Meyers and Naples, Florida Investment Adviser Fraud, Breach of Fiduciary Duty and Misrepresentation FINRA Arbitration and State and Federal Court Litigation Attorney:

Unit Investment Trust (UIT) - South Florida Investment Adviser Securities and Investment Fraud, Mismanagement and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of Sarkauskas & Associates, Inc. and James M. Sarkauskas

Fixed-Income Investment - Florida Fixed-Income Abuse FINRA Arbitration and Litigation Attorney

Fixed-Income Abuse, Fraud and Misrepresentation, Florida FINRA Arbitration and Litigation Attorney:

Howard Brett Berger and Michelle Berger - Florida Common and Preferred Stock Fraud, Mismanagement and Breach of Contract FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Howard Brett Berger and Michelle Berger, CV-12 4728 (E.D. N.Y. September 21, 2012)

Improper Trade Allocation and Cherry-Picking - South Florida Broker/Dealer and Investment Advisor FINRA Arbitration and Litigation Attorney

In the Matter of MiddleCove Capital, LLC and Noah L. Myers

The United States Securities and Exchange Commission (Commission) recently announced the issuance of an Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) against MiddleCove Capital, LLC (MiddleCove), an investment adviser registered with the Commission, and Noah L. Myers (Myers), the principal of MiddleCove.

Eugenio Verzili - Hollywood, Florida Investor Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

In the Matter of Eugenio Verzili

Recently, the Securities and Exchange Commission ("the Commission") issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Eugenio Verzili (Verzili). The Order finds that on July 3, 2012, a judgment was entered by consent against Verzili in SEC v. Juno Mother Earth Asset Management, LLC, et al. (Civil Action Number 11 Civ. 1778 (TPG) (S.D.N.Y.)), permanently enjoining Verzili from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 203A, 206(1), 206(2), 206(4) and 207 of the Advisers Act of 1940, and Rules 206(4)-2 and 206(4)-8 thereunder.

Tilden Loucks, & Woodnorth, LLC, Lasalle St. Securities and Ralph B. Loucks - Lake Worth, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

In the Matter of Tilden Loucks & Woodnorth, LLC, Lasalle St. Securities, LLC, and Ralph B. Loucks

Recently, the Securities and Exchange Commission, ("the Commission") issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (the Order) against Tilden Loucks & Woodnorth, LLC (Tilden), an investment adviser registered with the Commission, LaSalle St. Securities, LLC (LaSalle), a broker-dealer registered with the Commission, and Ralph B. Loucks (Loucks), a former senior vice president of Tilden who is a registered representative of LaSalle. The Order finds that, from October 1, 2007 through March 22, 2012, Tilden obtained undisclosed compensation by charging increased commissions on trades for its clients through its affiliated broker-dealer, LaSalle. The Order also finds that Tilden failed to seek best execution for its clients' securities transactions and made misleading statements in its Forms ADV concerning the steps it would take to evaluate execution of client trades and ensure that commission rates were reasonable.

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