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

Recent Blog Posts

SEC Charges Florida Man With Penny Stock Fraud

By Staff |

On March 9th, 2018, the Securities and Exchange Commission (SEC) filed a civil complaint against Brian Robert Sodi, a penny stock promoter based in South Florida. According to the SEC, Mr. Sodi engaged in a classic ‘pump and dump’ scheme, confidentially buying up shares of lightly traded securities, then dumping all of his holdings… Read More »

Broward County Brokerage Firm Fined $125,000 Inadequate Supervisory System

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) issued a $125,000 fine against TradeStation Securities, Inc. (CRD #39473), a brokerage firm headquartered in Plantation, Florida. This broker-dealer has been in business since 1995 and is licensed to operate in 51 American states and U.S. territories. According to FINRA investigators, TradeStation Securities executed extended hours trades… Read More »

Florida Investment Advisor Fined, Suspended for Unauthorized Transactions

By Staff |

On February 21st, 2018, the Financial Industry Regulatory Authority (FINRA) announced sanctions against Heather Xanthe VanLandingham (CRD#: 5343446), a broker most recently located in Riverview, Florida. According to information provided by FINRA, Ms. VanLandingham was accused of conducting unauthorized transactions on a client’s account. The alleged misconduct in this case occurred in 2016, when… Read More »

Supreme Court Issues Important Ruling in SEC Whistleblower Case

By Staff |

On February 21st, 2018, the Supreme Court of the United States issued a ruling in the case of Digital Realty Trust, Inc. v. Somers. In a unanimous decision, the nation’s highest court held that whistleblowers must report allegations of misconduct to the SEC in order to qualify for legal protections under Dodd-Frank.  This is… Read More »

Palm Beach Gardens Brokerage Firm Fined for Overcharging Customers

By Staff |

On February 20th, 2018, the Financial Industry Regulatory Authority (FINRA) announced sanctions against GWN Securities, Inc. (CRD#: 128929), a brokerage firm based in Palm Beach Gardens, Florida. This broker-dealer employs more than 600 securities representatives nationwide and is licensed to operate in all 50 States. According to FINRA investigators, GWN Securities, Inc. failed to… Read More »

SEC Announces $81 Million Settlement in the Jay Peak Investment Fraud Case

By Staff |

On February 2nd, 2018, the Securities and Exchange Commission (SEC) announced that it has reached an $81 million settlement with South Florida businessman Ariel Quiros. Mr. Quiros has been at the center of the Jay Peak investment fraud case. According to the SEC, this money will be used to compensate investors who were affected… Read More »

Palm Beach County Broker Barred for Failure to Cooperate With a FINRA Investigation

By Staff |

According to information released by the Financial Industry Regulatory Authority (FINRA), Lisa J. Lowi (CRD #1347790) has been permanently barred from the securities industry. In late 2017, FINRA requested on-the-record testimony from Ms. Lowi as part of an investigation it was conducting into claims that she had recommended unsuitable investments to customers. Investigators report… Read More »

Florida Financial Advisor Barred From Securities Industry for Converting Customer Funds

By Staff |

On January 8th, 2018, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers issued a decision in the disciplinary proceedings against Florida securities broker Jeffrey E. Krupnick (CRD#: 4307569). Mr. Krupnick was most recently employed at Ameriprise financial services (2015-2017) and Wells Fargo Advisors, LLC (2008-2014). For both broker-dealers, Mr. Krupnick was based… Read More »

FINRA Accuses Florida Brokerage Firm of Failure to Establish and Maintain a Proper Supervisory System

By Staff |

On January 9th, 2018, the Financial Industry Regulatory Authority (FINRA) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) regarding allegations of misconduct involving Spartan Securities Group, Ltd. (CRD#: 104478), a brokerage firm based in Clearwater, Florida. In this post, our Miami investment fraud lawyers highlight the alleged violations by Spartan Securities Group. To… Read More »

Florida Broker Suspended for Two Years for Material Misrepresentations

By Staff |

FINRA recently announced the suspension of registered securities representative Landon L. Williams (CRD#: 1751467). Most recently, this broker worked at Merrill Lynch, Pierce, Fenner & Smith, out of an office located in Jacksonville, Florida. According to FINRA investigators, Mr. Williams: Made material misrepresentations to his clients; Omitted material facts in conversations with investors; and… Read More »

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1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

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