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Posts tagged "Investment Advisor Fraud and Mismanagement"

Jeffrey A. Liskov and EagleEye Asset Management, LLC. - South Florida Investment Advisor Fraud, Misrepresentation and Mismanagement FINRA Arbitration and Litigation Attorney

Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov, United States District Court for the District of Massachusetts, Civil Action No. 11-CV-11576

Angelo A. Alleca - Fort Lauderdale, Florida Securities, Investment and Insurance Fraud Misrepresentation and Litigation Attorney

In the Matter of Angelo A. Alleca

Joseph J. Hennessy and Resources Planning Group - South Florida Investment Fund and Private Equity Fraud and Mismanagement FINRA Arbitration and Litigation Attorney

SEC Charges Chicago-Based Investment Adviser With Defrauding Investors in Failing Private Equity Fund

Anand Sekaran - Boca Raton, Florida Broker/Dealer and Investment Advisor Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

In the Matter of Anand Sekaran:

Carolyn Avia Harmon - Royal Palm Beach, Florida Broker/Dealer and Investment Advisor Theft and Conversion FINRA Arbitration and Litigation Attorney

Carolyn Avia Harmon - Lenoir, North Carolina:

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.

Alan Ronald Taylor - Tallahassee, Florida Broker/Dealer and Investment Advisor FINRA, AAA and JAMS Arbitration and Litigation Attorney

Alan Ronald Taylor - Reno, Nevada:

GEI Financial Services, Inc., Norman Goldstein and Laurie Gatherum - Investment Adviser and Broker/Dealer Fraud and Misrepresentation Attorney

Securities and Exchange Commission v. GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum, Civil Action No. 12-7927 (N.D. IL, filed October 3, 2012)

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