Miami Investment & Fraud Attorneys
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Recent Blog Posts

Broker Suspended for Recommending Unsuitable Investments to Elderly Florida Investor

By Staff |

On October 7th, 2017, FINRA’s Department of Enforcement announced sanctions against registered securities broker Walter Marino (CRD#: 2121623). While not admitting to any of the misconduct, Mr. Marino consented to the penalties, which included a one-year suspension from the securities industry. According to FINRA investigators, Mr. Marino negligently recommended wholly unsuitable investments to one… Read More »

SEC Announces Charges Against Businessman and Two Companies in ICO Scam

By Staff |

On September 29th, 2017, the Securities and Exchange Commission (SEC) announced investment fraud charges against Maksim Zaslavskiy. According to federal investigators, Mr. Zaslavskiy, through two companies that he controlled, fraudulently sold unregistered securities to unsuspecting investors. This case is notable as it involved initial coin offerings (ICOs), a new type of securities product backed… Read More »

Florida Broker Suspended for Fraud, Permanently Barred for Failure to Cooperate with Investigation

By Staff |

Bryan C. Lightsey (CRD No. 4472767), a general securities broker who was most recently employed at the Orlando, FL office of International Assets Advisory, LLC, has been permanently barred from the securities industry. Initially, Mr. Lightsey was accused of making material misrepresentations to his investors in the course of recommending unsuitable investments. At the… Read More »

Miami Brokerage Firm Censured and Fined for Selling Bonds at Unfair Prices

By Staff |

FINRA’s Department of Market Regulation has fined a Miami, Florida-based broker-dealer $65,000 for improperly reporting transactions and selling corporate bond securities at an unfair price to investors. Global Strategic Investments, LLC (CRD#: 117028), a brokerage firm licensed to operate in Florida and five other U.S. states was accused of failing to report the proper… Read More »

SEC Uncovers Concert Ticket Investment Scam

By Staff |

On September 6th, 2017, the Securities and Exchange Commission (SEC) charged Craig Carton, a prominent sports radio host from New York City, with investment fraud. According to the agency, Mr. Carton, along with his co-conspirator, Joseph Meli, stole millions of dollars from innocent investors. The SEC alleges that this the duo used a complex… Read More »

Florida Broker Suspended for Unsuitable Investment Recommendations

By Staff |

The Financial Industry Regulatory Authority (FINRA) recently announced that Daniel Joseph Hushek III (CRD #4250117), a registered broker based in Sarasota, Florida, has been suspended from the securities industry for a period of fifteen months. According to investigators, Mr. Hushek failed to adequately supervise a representative who was recommending unsuitable investments to clients. Full… Read More »

SEC Announces Two More Whistleblower Awards

By Staff |

The Securities and Exchange Commission (SEC) has announced two more whistleblower awards. These mark the 45th and 46th SEC whistleblower payouts, bringing the total amount of money awarded to over $158 million. On July 25th, the agency awarded $2.5 million to a government employee. This individual was able to provide securities industry officials with… Read More »

South Florida Financial Advisor Pushed Clients Into Unsuitable Investments

By Staff |

Christopher Robert Hickman (CRD No. 3267599), a general securities broker from Delray Beach, Florida, has been suspended from the industry for five months, fined $5,000 and ordered to pay more than $115,000 in financial restitution to six different investors. Without admitting to or denying any wrongdoing, Mr. Hickman, who is employed at Cetera Investments… Read More »

Brokerage Allegedly Defrauded Investors, Misrepresented Relationship with City of Jacksonville

By Staff |

On August 4th, 2017, FINRA’s Department of Enforcement filed a complaint against CSSC Brokerage Services, Inc. (CSSC) and its principal and CEO Eric S. Smith. Within the document, the Department of Enforcement alleges that Mr. Smith and CSSC defrauded investors by materially misrepresenting the company’s financial condition in a bridge loan securities offering that… Read More »

Florida Broker-Dealer Censured, Fined $100,000 for Penny Stock-Related Misconduct

By Staff |

On July 11th, 2017, FINRA’s Department of Enforcement announced that it reached a settlement with Spartan Securities Group, LTD (CRD No. 104478), a registered brokerage firm, based in Clearwater, Florida. Without admitting to or denying any misconduct, Spartan Securities accepted penalties that include a: Public censure; and $100,000 fine. These penalties were brought against… Read More »

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