Switch to ADA Accessible Theme
Miami Investment Fraud Attorney
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Author Archives: Staff

Florida Broker Fined, Suspended For Improper Private Securities Transaction

By Staff |

Andrew Benjamin Edenbaum (CRD #3040543) is a previously registered investment adviser (RIA). Mr. Edenbaum was most recently associated with Oppenheimer & CO (2002 to 2018), National Securities Corporation (2018 to 2020), and A.G.P/Alliance Global Partners (2020 to 2022). At all three firms, this broker was based at office locations in South Florida. Earlier this… Read More »

SEC Halts Cryptocurrency Mining And Trading Scheme In South Florida

By Staff |

On May 6th, 2022, the Securities and Exchange Commission (SEC) announced securities fraud charges against a number of parties as part of a cryptocurrency mining and trade scheme, including: MCC International Corp. (MCC), doing business as Mining Capital Coin Corp.; MCC co-founder Luiz Carlos Capuci, Jr.; MCC co-founder Emerson Souza Pires; and Other entities,… Read More »

SEC Charges Two Florida Executives In Alleged Special Needs Trust Fraud Scheme

By Staff |

On May 2nd, 2022, the Securities and Exchange Commission (SEC) announced securities fraud charges against two executives of Synergy Settlement Services, Inc: CEO Jason D. Lazarus, Esq of Orlando and President Anthony F. Prieto, Jr. of Tampa Bay. The two Florida corporate executives stand accused of defrauding individuals with special needs. Here, our Miami… Read More »

FINRA Arbitration Panel In Florida Holds Broker Liable For $62,000 In Investor Damages

By Staff |

Karl Ronald Foust (CRD#: 1010291) is a previously registered broker and previously registered investment adviser (RIA). Mr. Foust was most recently associated with H.D. Vest Investment Services at a branch office in Boca Raton, Florida (2009 to 2014). On April 19th, 2022, a FINRA Arbitration panel in Florida held Mr. Foust liable for $62,000… Read More »

Litigation Update: SEC Charges Two In South Florida With Acting As Unregistered Brokers

By Staff |

On April 14th, 2022, the Securities and Exchange Commission (SEC) announced securities fraud charges against two Southeast Florida men who allegedly acted as unregistered brokers. Joseph Salvatore DeVito and Dean Anthony Esposito—both of Boca Raton, FL—stand accused of acting as unregistered brokers and soliciting investments in unregistered securities offerings. In this article, our Miami… Read More »

SEC Awards $1.25 Million To Whistleblower

By Staff |

On March 25th, 2022, the Securities and Exchange Commission (SEC) officially confirmed the award of $1.25 million in financial compensation to a whistleblower who provided credible and specific information to help regulators put a stop to securities fraud. SEC staff was able to open an investigation and has taken successful enforcement action because of… Read More »

NAC Decision: Miami Broker Barred From Industry, Brokerage Firm Expelled

By Staff |

On March 16th, 2022, the National Adjudicatory Council (NAC) issued a decision in the matter of Department of Enforcement vs. Dakota Securities International, Inc. and Bruce Martin Zipper of Miami, FL. Finding violations of securities industry regulations, broker Bruce Martin Zipper (CRD#: 1019731) was barred from the industry and his firm Dakota Securities International… Read More »

March 2022: SEC Issues Two Whistleblower Awards, Totaling $17.5 Million In Financial Compensation

By Staff |

Securities fraud remains a major area of concern. The SEC is the federal agency responsible for regulating securities markets and taking enforcement action against investment fraud. One of the challenges facing the SEC is that investment fraud is often well-concealed. For this reason, a whistleblower program was created to incentivize insiders to come forward… Read More »

South Florida Financial Advisor Fined, Suspended For Unauthorized Trading

By Staff |

Alan Scot Feigenbaum (CRD#: 3132230) is a previously registered broker and previously registered investment advisor (RIA). Most recently, Mr. Feigenbaum served as a securities representative for Newbridge Securities Corporation in Boynton Beach, Florida (04/02/2019 – 05/07/2021). Prior to that, he was also associated with National Securities Corporation and Prime Capital Services. Recently, the Financial… Read More »

Two Florida Men Among Five Indicted In ‘Pump And Dump’ Securities Fraud Scheme

By Staff |

On February 17th, 2022, the United States Department of Justice (DOJ) announced that five men, including two from Florida, have been indicted on federal securities fraud charges for their role in an ‘pump and dump’ investment fraud scheme. The DOJ contends that they unlawfully manipulated the price of a health care industry stock. In… Read More »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2021
  • Curtis Carlson 25th Anniversary


1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

Telephone: 305-372-9700
Fax: 305-372-8265

With Us

  • Facebook
  • Twitter
  • LinkedIn

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

No content on this site may be reused in any fashion without written permission from www.Carlson-Law.net

MileMark Media - Practice Growth Solutions

© 2015 - 2022 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.