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Posts tagged "Unregistered Sale of Securities"

J.C. Reed & Company and Barron A. Mathis - Florida Common and Preferred Stock State and Federal Litigation and FINRA Arbitration Attorney

Securities and Exchange Commission v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor, Civil Action No. Case No. 3:08-CV-1112 (M.D. Tn.)

South Florida Sale of Unregistered Securities and Investment Fraud and Mismanagement Litigation and FINRA Arbitration Attorney

Securities and Exchange Commission v. J.C. Reed & Company, Inc., J.C. Reed Advisory Group, LLC, Barron A. Mathis, and Estate of John C. Reed, Lana L. Reed, Executor, Civil Action No. Case No. 3:08-CV-1112 (M.D. Tn.)

Cameron H. Linton, Karen S. Beach, Capital Edge Enterprises, LLC., Protege Enterprises, LLC., Christel S. Succi - South Florida Penny Stock Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

United States District Court Enters Final Judgments in Penny Stock Distribution Scheme Charged by the Commission

The Commission announced the entry of final judgments against each of the five defendants in SEC v. Christel S. Scucci, et al., Case No. 6:12-cv-646 (M.D. Fla.). The Commission's complaint, filed on April 30, 2012, charged the defendants with a scheme to unlawfully acquire and sell shares of penny stock that were never registered for sale to the public, in violation of Section 5 of the Securities Act of 1933 ("Securities Act").

Michael E. Metter and Steven Y. Moskowitz - Florida Penny Stock and Fraudulent Sale of Unregistered Stock Litigation and Arbitration Attorney

Securities and Exchange Commission v. Spongetech Delivery Systems, Inc., RM Enterprises International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley and Jack Halperin, Civil Action No. 10-2031 (E.D.N.Y.) (filed May 5, 2010)

Michael J. Southworth and The Investors Registry, LLC. - Florida Unregistered Broker/Dealer Litigation Attorney

Securities and Exchange Commission v. The Investors Registry, LLC, and Michael J. Southworth, Civil Action No. [2:12-cv-02214-MEA] (D. Ariz., filed October 16, 2012).

Derek F.C. Elliott - Florida Sale of Unregistered Securities FINRA, AAA Arbitration and Litigation Attorney

Final Judgments Entered Against Derek F.C. Elliott

On October 5, 2012 the Honorable James C. Mahan, United States District Judge for the District of Nevada, entered a Final Judgment against Derek F.C. Elliott (Elliott).

Quick Reminder of Broker/Dealer Prohibited Conduct - South Florida Elder Financial Abuse and Exploitation Litigation and Arbitration Attorney

South Florida Elder Abuse and Investment Fraud and Breach of Fiduciary Duty FINRA Arbitration and Litigation Attorney:

Promissory Note Fraud and Misrepresentation - Bullet Points - South Florida Promissory Note Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney

South Florida Promissory Note Fraud, Misrepresentation, Unregistered Sale of Securities and Unsuitable Investment FINRA Arbitration and Litigation Attorney:

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