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

Recent Blog Posts

SEC Charges Businessman and his Company in Massive Ponzi Scheme Case—He Falsely Claimed to Have Offices in Florida

By Staff |

On January 14th, 2020, the Securities and Exchange Commission (SEC) announced that it obtained an emergency asset freeze in an alleged $75 million investment fraud case. The agency believes that an Illinois-based businessman named Kenneth D. Courtright, III operated a Ponzi scheme through his company, Todays Growth Consultant Inc. In total, more than 500… Read More »

South Florida FINRA Arbitration Panel Holds Merrill Lynch Liable for More Than $25,000

By Staff |

On December 31st, 2019, a FINRA arbitration panel based in Boca Raton, FL ordered the licensed brokerage firm Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay two investors $25,739.00 in compensatory damages (Case Number: 18-04115). The panel determined that a portion of the investors’ losses were caused by the firm’s negligence. Below, our… Read More »

SEC Charges Florida Man in Multimillion Dollar Microcap Securities Fraud Case

By Staff |

On January 2nd, 2019, the Securities and Exchange Commission (SEC) announced securities fraud charges against six individuals. Through a web of interconnected  companies, these defendants are alleged to have generated more than $35 million in proceeds in illegal stock sales. One of the defendants, Aaron Dale Wise, is a resident of Florida. Below, our… Read More »

SEC Halts Florida Penny Stock Fraud Targeted at Senior Citizen Investors

By Staff |

On November 27th, 2019, the Securities and Exchange Commission (SEC) announced that it obtained an emergency order to freeze the assets of a Florida-based penny stock fraud scheme. The fraud at issue in this case allegedly affected more than 110 investors, most of them senior citizens. The defendants named were: NIT Enterprises, Inc.; Gary… Read More »

FINRA Complaint: Miami-Dade County Broker Improperly Engaged in Improper Outside Business Activities (OBAs)

By Carlson & Associates, P.A. |

Robert Henderson (CRD#: 1160413) is a previously registered securities broker. From December of 2010 to November of 2019, Mr. Henderson was a representative of IFS Securities, where he was based out of a branch office in Miami Lakes, Florida. Previously, this financial advisor was also associated with First American Capital and Trading Corp. and… Read More »

South Florida Brokerage Firm Fined for Failure to Supervise Private Placement Offerings; Broker Suspended

By Staff |

Bruce Howard Jordan (CRD#: 1223556) is a licensed securities broker. Since February of 2015, Mr. Jordan has been associated with Newbridge Securities Corporation (CRD #104065) based in Boca Raton, Florida. Prior to that, he also served as a representative for Bedminster Financial Group, Midtown Partners & CO., and VFinance Investments. Earlier this Fall, Bruce… Read More »

South Florida Broker Suspended By FINRA—Faces Complaints Over Breach of Fiduciary and Unsuitable Trading

By Staff |

Gregory Alan Ricker (CRD#: 1834893) is a former licensed broker and registered investment advisor. From 2009 to 2012, he was employed at National Securities Corporation. After that, he served as a securities representative for WestPark Capital in Boca Raton, Florida. Earlier this fall, Mr. Ricker was suspended indefinitely by FINRA after he failed to… Read More »

SEC Halts Multi-Million Dollar Ponzi Scheme in South Florida

By Staff |

On November 19th, 2019, the Securities and Exchange Commission (SEC) announced that it obtained an emergency restraining order and asset freeze in order to stop a $6 million Ponzi scheme in Palm Beach County, Florida. According to the agency, the Ponzi scheme was operated by: Neil Burkholz of Palm Beach County, FL; Frank Bianco,… Read More »

SEC Charges Issuer and CEO With Fraud and Violation of Securities Industry Whistleblower Laws— Sought to Silence Complaints By Investors

By Staff |

On November 4th, 2019, the Securities and Exchange Commission (SEC) filed an amended complaint against Mykalai Kontilai, the Chief Executive Officer (CEO) of a company called Collectors Café. Notably, Collectors Café is also being charged as part of a $23 million securities fraud scheme. Not only is Mr. Kontilai accused of committing securities fraud,… Read More »

Florida FINRA Arbitration Panel Holds Brokerage Firm Liable for Nearly $2 Million in Investor Losses

By Staff |

On November 6th, 2019, a FINRA arbitration panel in Boca Raton, FL awarded a trio of investors nearly $2 million in damages (Case Number: 16-03072). The claim, which was brought by the three investors and several entities that they controlled, was filed against Ross, Sinclaire & Associates, LLC (CRD#: 25440/SEC#: 801-78513)—a large brokerage firm… Read More »

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