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Posts tagged "Breach of Fiduciary Duties"

Linda Woolf, Hands On Capital, Inc. - South Florida Securities and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. Linda Woolf, Hands On Capital, Inc., et al., Civil Action No. 1:08cv235 (E.D.Va.)

Jeffrey Rubin - South Florida Unsuitable Recommendations and Selling Away FINRA Arbitration and Litigation Attorney

Jeffrey Rubin, Registered Representative, Lighthouse Point, Florida:

Sung Kook Hwang - Lauderhill, Florida Investment Advisor and Broker/Dealer Fraud, Misrepresentation and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

In the Matter of Sung Kook Hwang

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 Sung Kook (Bill) Hwang. The Order finds that Hwang was the sole principal and portfolio manager for Tiger Asia Fund, L.P., and Tiger Asia Overseas Fund, Ltd. (the Funds), both private funds, and the managing member of Tiger Asia Management, LLC (TAM), an investment adviser registered with the Commission.

Thomas Shannon Ensign - Florida Investment and Stock Breach of Fiduciary Duties and Negligence FINRA Arbitration and Litigation Attorney

Thomas Shannon Ensign - Registered Representative, Delaware, Ohio:

Gary Lee Cousino - Florida Securities Unauthorized Trade, Unsuitability and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney

Gary Lee Cousino - Registered Representative, Mackinac Island, Michigan:

Milton Charles Ault III - Florida Unauthorized Stock and Bond Trading FINRA Arbitration and Litigation Attorney

Milton Charles Ault III - Registered Principal, Fountain Valley, California:

Statute of Limitations - 2007 and 2008 Investment (Stock) Losses

Each state as its own statute of limitations that relate to claims of investment losses, relating to claims for fraud and deceit, negligent misrepresentations, negligence, breach of contract, breach of fiduciary duty and negligent supervision.  For example, in Florida the statute of limitations is contained in Chapter 95 of the Florida Statute.  Generally, actions on the following claims must be commenced as follows:

Protecting Senior Investors - Report For Financial Service Firms Issued by the SEC, NASAA and FINRA

This post contains a copy of a report issued by the staff of the SEC, NASAA and FINRA and does not reflect the view of, or include findings or conclusions of the Securities and Exchange Commission. The full release is contained on the attached pdf. document.

Elder and Senior Financial Abuse Attorney - Common Sense Tip for Seniors to Help Protect Your Nest egg

South Florida Elder and Senior Financial Abuse and Breach of Fiduciary Duty Litigation FINRA Arbitration and Litigation Attorney:

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:

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