Recent Blog Posts
With Regulatory Investigation After Being Arrested on Fraud Charges
William Roger Maurer (CRD#: 6876160) is a former securities broker. From November of 2017 to August of 2018, Mr. Maurer was employed at Voya Financial Partners (CRD#: 34815) in Jacksonville, Florida. In the summer of 2018, this financial representative was discharged by Voya Financial after he was arrested by Florida police on both fraud… Read More »
Florida Brokerage Firm Sanctioned By FINRA for Failure to Supervise, Churning
Summit Brokerage Services (CRD#: 34643/SEC#: 8-46310) is a brokerage firm that is regulated by the Financial Industry Regulatory Authority (FINRA). With headquarters in Boca Raton, FL, Summit Brokerage has been in the securities industry since 1993 and it is licensed to operate in 51 U.S. states and American territories. On July 2nd, Summit Brokerage… Read More »
Florida Financial Advisor Fined, Suspended for Unauthorized Trading
Steven Michael Roffman (CRD#: 1673527) is a registered FINRA broker. Since 2016, Mr. Roffman has been employed at IFS Securities in Atlanta, Georgia. Prior to that, Mr. Roffman was also associated with several broker-dealers in Florida, including Ameriprise Financial Services, Raymond James & Associates, Morgan Keegan & Company, and North Coast Securities Corporation. In… Read More »
SEC Waives Rule 21F-4(a), Awards $3 Million to Joint Whistleblowers
On June 3rd, 2019, the Securities and Exchange Commission (SEC) issued an Order Determining Whistleblower Award Claim. For assisting in enforcement action, the federal securities regulator awarded a pair of joint whistleblowers $3 million in compensation, to be divided equally between the two parties. Notably, in doing so, the SEC decided to voluntarily waive… Read More »
South Florida Financial Advisor Faces Investor Complaint for Breach of Fiduciary Duty, Negligence
Peter Lewis Goffin (CRD#: 1617710) is an actively registered broker and investment advisor. Since October of 2003, this financial advisor has been an associate of Newbridge Securities — based out of a branch office in Boca Raton, FL. Records from the Financial Industry Regulatory Authority (FINRA) indicate that Mr. Goffin holds securities licenses in… Read More »
Former Miami Securities Broker Fined $20,000 and Suspended for Fifteen Months for Acting as Unregistered Financial Advisor
Carlos Ricardo Fuenmayor (CRD#: 4055839) is a previously registered broker and investment advisor. From February 2015 to October of 2016, Mr. Fuenmayor was a representative of Dakota Securities International, Inc. based in a branch office in Miami, Florida. However, Mr. Fuenmayor was associated with Dakota Securities International prior to 2015. In 2017, the Financial… Read More »
Florida Financial Advisor Barred After Refusing to Cooperate With Investigation Into Unauthorized Transactions
Thomas L. Studer (CRD#: 6300308) is a previously registered broker and investment advisor. From May of 2014 to November of 2018, Mr. Studer was employed as a securities representative at Thrivent Investment Management in The Villages, Florida. On May 23rd, 2019, Thomas Studer was expelled from the securities industry after he declined to provide… Read More »
SEC Charges Two Former Woodbridge Directors With Investment Fraud
On April 11th, 2019, the Securities and Exchange Commission (SEC) filed investment fraud charges against two former Woodbridge directors — Ivan Acevedo and Dane R. Roseman. In addition to facing charges from the SEC, both men are also facing criminal charges for their role in perpetuating the company’s massive Ponzi scheme. In a legal… Read More »
Florida Broker Barred After Failure to Cooperate With FINRA Investigation
Mark Andrew Tudor (CRD#: 2842516) is a previously registered securities broker and investment advisor (RIA). From June of 2014 to October of 2018, Mr. Tudor was employed at Raymond James Financial Services in Lake Mary, Florida. Previously, this representative was also associated with Morgan Keegan & Company (Winter Garden, FL) and Wachovia Securities (Orlando,… Read More »
Florida FINRA Arbitration Panel Awards $150,000 to Pair of Investors
On May 3rd, 2019, a FINRA arbitration panel in Tampa, FL awarded a pair of Florida investors $150,000 in compensatory damages (Case Number: 18-02823) after finding a former financial advisor liable for their losses. The respondent in the proceedings was Yosef Y. Fox (CRD#: 2386001), a previously registered securities broker who was barred from… Read More »
