Switch to ADA Accessible Theme
Miami Investment Fraud Attorney
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Recent Blog Posts

South Florida Broker Fined And Suspended For Unsuitable Investment Advice

By Staff |

Charles Bonilla (CRD #2572107) is a formerly registered broker and investment adviser. From December of 2015 to May of 2018, Mr. Bonilla was a securities representative of David Lerner Associates in Boca Raton, Florida. Subsequently, Mr. Bonilla worked for Pruco Securities in Boca Raton until February of 2019. Earlier this year, the Financial Industry… Read More »

Fund Manager With Ties To Miami, FL Charged In Multi-Million Dollar Securities Fraud Case

By Staff |

On April 23rd, 2021, the Securities and Exchange Commission (SEC) announced the filing of civil securities fraud charges against Andrew T. Franzone, a fund manager who has ties to Miami-Dade County, Florida. Mr. Franzone allegedly took in more than $38 million from at least 90 different investors in Florida, New York, and throughout the… Read More »

SEC Charges Former Miami, FL Registered Representative As Part Of $16 Million Oil-And-Gas Offering Fraud Scheme

By Staff |

On April 14th, 2021, the Securities and Exchange Commission (SEC) announced securities fraud charges against seven individuals. Among those charged is Mark Ross, a 53-year-old resident of Miami, Florida. Mr. Ross is a previously registered securities broker. He held a license from 1985 to 2007. At that time, he was sanctioned by FINRA and,… Read More »

FINRA Sanctions South Florida Brokerage Firm For Rule 2121 Violation

By Staff |

Dawson James Securities, Inc. (CRD No. 130645) is a licensed FINRA broker-dealer headquartered in Boca Raton, Florida. Initially registered with the SEC in 2004, Dawson James Securities operates in 53 U.S. states in territories. On April 6th, 2021, FINRA announced the broker-dealer was being censured, fined $20,000, and ordered to pay $7,083.93 in financial… Read More »

Securities And Exchange Commission Awards More Than $500,000 To Whistleblower Under ‘Safe Harbor’ Law

By Staff |

On March 29th, 2021, the Securities and Exchange Commission (SEC) confirmed that the federal agency has awarded more than $500,000 to an individual who raised concerns internally before officially submitting a tip to the government. With the latest award, the agency has now granted nearly $800 billion to securities industry whistleblowers. Notably, this case… Read More »

Florida Brokerage Firm Censured, Fined for Failure to Implement Supervisory System to Regarding the Recommendation of Risky Alternative Mutual Funds

By Staff |

J.W. Cole Financial, Inc. (CRD No. 124583) is a national brokerage firm with main headquarters in Tampa, Florida. The broker-dealer is licensed to operate in 52 U.S. states and territories. In March of 2021, the Financial Industry Regulatory Authority (FINRA) announced a censure and fine against J.W. Cole Financial, Inc. Here, our Miami unsuitable… Read More »

NAC Decision Upholds FINRA’s Ban of Florida Financial Advisor Who Refuses to Cooperate Into Investigation of Multi-Million Fraud Allegations

By Staff |

On March 10th, 2021, the National Adjudicatory Council (NAC) upheld FINRA’s bar on a Florida financial advisor. In the Matter of Department of Enforcement v. Robert Juan Escobio, the NAC determined that former Southern Trust Securities broker Robert J. Escobio (CRD#: 703813) was not justified when he failed to provide documents and on-the-record testimony… Read More »

Florida Man One of Seven Individuals Charged By SEC in a $45 Million Fraud Scheme

By Staff |

On March 2nd, 2021, the Securities and Exchange Commission (SEC) announced investment fraud charges against seven individuals and one company. The federal regulatory agency alleges that the defendants were involved in a scheme to gain control over a company called Airborne Wireless Network, with the ultimate goal being the defrauding of investors. Notably, Moshe… Read More »

SEC Awards More than $12 Million in Three Separate Whistleblower Awards

By Staff |

In February of 2021, the Securities and Exchange Commission (SEC) officially announced three new whistleblower awards. Collectively, the federal regulator granted more than $12 million in compensation to the three individuals who helped stop securities fraud. Since the program was launched in 2012, the SEC has now approved more than $750 in whistleblower compensation…. Read More »

In a FINRA Family Affair, Billionaire Florida Grandmother Awarded Approximately $20 Million

By Staff |

On February 5th, 2021, a Financial Industry Regulatory Authority (FINRA) arbitration panel in Boca Raton, Florida awarded a wealthy Florida grandmother nearly $20 million in compensation in a broker misconduct claim (Case Number: 19-02053). Notably, the named respondents—both former representatives of the New York, New York-based brokerage firm J.P Morgan Securities LLC—are the grandsons… Read More »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2021
  • Curtis Carlson 25th Anniversary


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

Telephone: 305-372-9700
Fax: 305-372-8265

With Us

  • Facebook
  • Twitter
  • LinkedIn

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

No content on this site may be reused in any fashion without written permission from www.Carlson-Law.net

MileMark Media - Practice Growth Solutions

© 2015 - 2021 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.