Recent Blog Posts
Winter Park, Florida Man Arrested for Investment Fraud
On September 3rd, 2025, the Florida Department of Law Enforcement announced the arrest of a Winter Park man on securities fraud charges. Jerald Benjamin Clawson has been charged with felony counts of organized scheme to defraud and the unlawful use of unregistered securities. Here, our Miami securities fraud attorney provides a more detailed overview… Read More »
FINRA Bars Florida Broker from Securities Industry
Evan Pfeuffer (CRD #2862097) is a previously registered securities broker. From February of 2021 to November of 2024, Mr. Pfeuffer was a representative of Stonex Financial Inc. in Winter Park, Florida. However, recently this broker was barred by the Financial Industry Regulatory Authority (FINRA) for his failure to cooperate with an investigation into alleged… Read More »
SEC Charges Florida-Based Company Owner With Stock Fraud
On August 21st, 2025, the Securities and Exchange Commission (SEC) announced stock fraud charges against the owner of a Florida company. Carole A. Liston, the sole owner of two investment entities (Stock Purse Trading LLC and Liston Associates, Inc) has been accused of conducting a $5.7 million stock fraud scheme. Here, our Miami investment… Read More »
Miami Broker Barred After Failing to Cooperate Into Investigation into Alleged Misappropriation of Funds
Mario L. Martinez (CRD#: 6144561) is a previously registered securities broker. From October of 2015 to February of 2025, Mr. Martinez was associated with Merrill Lynch in Fort Lauderdale. Earlier this year, he was terminated by the brokerage firm after allegations of misappropriation of funds and other misconduct. The Financial Industry Regulatory Authority (FINRA)… Read More »
FINRA Cites Florida Broker-Dealer for Supervisory Failures
AAG Capital, Inc. (CRD #188) is a brokerage firm that is headquartered in Wesley Chapel, Florida and licensed to operate in 51 U.S. states and territories. Recently, the Financial Industry Regulatory Authority (FINRA) fined and sanctioned AAG Capital, Inc. for supervisory failures. Here, our Miami investment fraud lawyer provides a more comprehensive overview of… Read More »
FINRA Bars South Florida Broker Who Declined to Cooperate With Investigation
Isaiah Thomas Williams Jr. (CRD#: 6211219) is a previously registered broker and investment adviser. From April of 2017 to January of 2025, Mr. Williams Jr. was a representative of Merrill Lynch, Pierce, Fenner & Smith Incorporated in Boca Raton, Florida. He was separated from the firm following allegations of misconduct. As Mr. Williams Jr…. Read More »
Florida Investors Reportedly Among Those Affected By Georgia-Based Ponzi Scheme
On July 10th, 2025, the Securities and Exchange Commission (SEC) announced securities fraud charges against First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost. The company is believed to be a $140 million Ponzi scheme. Notably, Florida investors are among those who were affected. Here, our Miami Ponzi scheme… Read More »
Florida Broker Fined, Suspended By FINRA for Municipal Bonds Violations
Bjorn Johan Erickson (CRD#: 5756517) is a registered securities broker. Since June 2011, Mr. Erickson has been a registered representative of Newbridge Securities, LLC in St. Petersburg, Florida. Recently, the Financial Industry Regulatory Authority (FINRA) took adverse action against this broker. He was fined and suspended for violations related to municipal bonds. In this… Read More »
SEC Charges Rental Scooter Company in Multi-Million Dollar Securities Fraud Case in Florida
On July 3rd, 2025, the Securities and Exchange Commission (SEC) announced civil securities fraud charges against a rental scooter company. In the United States District Court for the Southern District of Florida, the agency filed a complaint against Cheetah X Inc. (Go X) and its principals, Alexander Debelov and Khodr Salam. According to the… Read More »
SEC Obtains Final Judgment Against Two Defendants in Florida Pump-and-Dump Securities Fraud Scheme
On June 20th, 2025, the Securities and Exchange Commission (SEC) announced that it secured a final judgment against two defendants in a securities fraud case in South Florida. Civil charges were brought against Benjamin Ballout and Mohamed Zayed for their role in a pump-and-dump scheme. Here, our Miami, FL securities fraud attorney discusses the… Read More »
