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Most disputes involving securities are resolved through arbitration, specifically Financial Industry Regulatory Authority (FINRA) arbitration.
Securities fraud involves acts committed to encourage investors to make sales decisions that are based off of false information. The Securities Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) will investigate reports of securities fraud and either impose civil fines or have the case criminally prosecuted.
On February 14, 2012, the Securities and Exchange Commission (SEC) filed a complaint against Brenda Esbach of Tustin, California charging her with numerous securities fraud violations. The SEC's complaint alleges that, instead of making investments as directed by her clients, Esbach misappropriated the funds using them to pay personal and business expenses, including private school tuition and trips to Las Vegas. Esbach, who has also been the subject of several investor lawsuits and securities arbitration claims, is awaiting sentencing in a related Federal prosecution where she entered a guilty plea to one count of mail fraud and one count of money laundering back in September 2011. Today, the Securities and Exchange Commission (SEC) announced the filing of a civil securities fraud lawsuit against Southern California wealth advisory firm MAM Wealth Management, LLC (MAM), MAMW Real Estate General Partner, LLC (MAMW), Alex Martinez and Ralph Sanchez.
Today, the Securities and Exchange Commission (SEC) filed securities fraud charges against Steven K.
Today, the San Francisco Regional Office of the Securities and Exchange Commission (SEC) levied securities fraud charges against local investment advisors responsible for managing the American Pegasus Auto Loan Fund, a $100 million hedge fund that invested in subprime automobile loans.
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Barbara Alexander, a syndicated radio talk show host based in Monterey, California, who hosted a show for entrepreneurs called MoneyDots.

San Diego-based First Allied Securities has agreed to pay $1.95 million in a settlement with the Securities and Exchange Commission (SEC) relating to the firm's failure to supervise the activities of former broker Harold Jaschke who was the subject of a related SEC action for churning, conducting unauthorized trades and giving unsuitable recommendations. According to the SEC, Jaschke had engaged in a high-risk short-term treasury bond trading strategy for two municipalities who were his clients, the City of Kissimmee, Florida and the Tohopekaliga Water Authority. Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit against Sean David Morton of Manhattan Beach, California, alleging that Morton falsely claimed he would use his psychic expertise to provide investment guidance. The SEC's complaint includes a lengthy and detailed analysis showing that Morton's predictions over the years have proven to be wildly inaccurate.
Today, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit in Sacramento federal court charging two Sacramento-area men with the misappropriating approximately $10 million from over 100 investors who were falsely promised that the funds were safe, liquid, high-yield investments that were secured by deeds of trust. The SEC has requested monetary penalties, disgorgement of ill-gotten gains and injunctive relief. California Securities Fraud Lawyer News Flash: AXA Investment Executive Settles Securities Fraud Charges Barr M. SEC Files Securities Fraud Lawsuit Against San Francisco Bay Area Financial Advisor Today, the Securities and Exchange Commission (SEC) filed securities fraud charges against Steven K. In many cases, mishandling of the account by the broker, whether through inattention or investment fraud, is the actual cause. We have two former United States Attorney's who have years of experience litigating these types of cases in Federal court and who understand how securities or investment fraud cases are prosecuted.

Rosenberg, co-founder and chairman of Orinda, California, investment firm AXA Rosenberg agreed to pay $2.5 million to settle securities fraud charges that involved hiding a computer error that caused $217 million in losses to his clients.
Securities fraud cases usually involve high-ranking individuals like stockbrokers and CEO's and they can carry both civil and criminal penalties. Carlson has successfully helped clients hold their brokers, brokerages and financial advisors accountable in securities disputes. Our experienced stock broker fraud attorney at the Carlson Law Firm is dedicated to educating the investing public about their rights and about the improper practices of the securities industry.
Securities fraud cases can be complex and require a special set of skills and knowledge to handle the case properly. Our investment fraud defense lawyers have the knowledge and skills to help you obtain the best possible outcome on your case. The securities fraud defense lawyers at NeJame Law have years of experience handling securities and investment fraud cases in Orlando and throughout Florida.

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Author: admin | 19.11.2013 | Category: Stock Trading Business

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