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

Recent Blog Posts

SEC Proposes Amendments to the Whistleblower Program

By Staff |

The SEC whistleblower program was created in 2010 incentivize securities industry insiders and others who have access to sensitive information to report suspected wrongdoing. To date, the SEC has handed out more than $250 million in whistleblower awards. In addition, the SEC has used the information obtained through whistleblower disclosures to recover more than… Read More »

SEC Shuts Down $100 Million Ponzi Scheme; Florida Man Charged

By Staff |

On June 19th, 2018, the Securities and Exchange Commission (SEC) announced that enforcement officials were shutting down a $102 million Ponzi scheme. Several former FINRA advisors were implicated in the charges. According to the SEC, more than 600 investors throughout the United States were defrauded in this Ponzi scheme. Six men have been charged… Read More »

Miami Securities Broker Barred for Selling Unregistered Securities

By Staff |

On June 12th, 2018, the Financial Industry Regulatory Authority (FINRA) announced that Harold Lee Connell (CRD#: 1482623), a registered broker from Miami, Florida has been permanently barred from the securities industry. From 2001 to 2017, Mr. Connell served as the CEO and President of CP Capital Securities, a broker-dealer that was headquartered in Miami…. Read More »

South Florida Broker Barred for Failure to Cooperate With Investigation Regarding Unsuitable Investments

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) indefinitely barred investment advisor Matthew Singer (CRD #4972708) from the securities industry. Mr. Singer was last employed at Morgan Stanley, working out of an office in Aventura, Florida. This representative has also previously been associated with FBN Securities and Ascendiant Capital Markets. According to investigators, Mr. Singer… Read More »

Palm Beach County Broker Barred From Securities Industry for Material Misrepresentations

By Staff |

On May 17th, 2018, the National Adjudicatory Council (NAC) affirmed FINRA’s findings and sanctions in the case of Michael Todd Clements (CRD#: 170207), permanently barring the broker from the securities industry and ordering him to pay full financial restitution to affected investors. The alleged misconduct in this case relates to the period when Mr…. Read More »

SEC Files Civil Investment Fraud Charges Against Delray Beach, Florida Executive

By Staff |

On May 16th, 2018, the Securities and Exchange Commission (SEC) announced investment fraud charges against Brent Borland. Mr. Borland has a residence in Manhattan, New York and a second residence in Delray Beach, Florida. According to investigators, Mr. Borland misappropriated nearly $6 million in investor funds. While investors were informed that their money was… Read More »

South Florida Broker Barred for Taking Money From Elderly Investor

By Staff |

Earlier this year, the Financial Industry Regulatory Authority (FINRA) announced that Jimmy Oswald Moscoso (CRD#: 2912265), a registered broker based in South Florida, has been permanently barred from the securities industry. Mr. Moscoso was accused of misusing the funds of a vulnerable, elderly investor. In this post, our experienced Miami investment fraud attorneys detail… Read More »

SEC Shuts Down $85 Million Ponzi Schemes; Investors Were Falsely Informed Land Was Being Purchased in Florida

By Staff |

On May 1st, the Securities and Exchange Commission (SEC) announced that it had recently shut down an $85 million Ponzi scheme that had ties to the state of Florida. In a legal complaint that was unsealed in the United States District Court for the Southern District of Mississippi, the SEC alleges that Arthur Lamar… Read More »

Florida Executive Pleads Guilty to Orchestrating $150 Million Investment Fraud Scheme

By Staff |

On April 19th, 2018, the United States Department of Justice (DOJ) announced that Antonio Carlos de Godoy Buzaneli, an executive from Coral Gables, Florida, has pleaded guilty to investment fraud charges related to his role in a $150 million investment fraud scheme. According to court documents, Mr. Buzaneli and several co-conspirators carried out the… Read More »

SEC Files Investment Fraud Charges Against Former NHL Owner

By Staff |

On April 5th, 2018, the Securities and Exchange Commision (SEC) filed civil investment fraud charges against Peter H. Pocklington and five alleged co-conspirators, including Yolanda C. Velazquez and Vanessa Puelo, both of Florida. Mr. Pocklington is the former owner of the National Hockey League’s Edmonton Oilers. According to the SEC, Mr. Pocklington and his… Read More »

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