Recent Blog Posts
Former West Palm Beach Broker Suspended for Taking Undisclosed Loan from Customer
Omar Waleed Hammad-Randolph (CRD #6087721) is a previously registered securities broker and financial advisor. From August of 2012 until October of 2014, Mr. Hammad-Randolph was a representative for Morgan Stanley in West Palm Beach, FL. Subsequently, he served as a registered broker for Merrill Lynch in Boca Raton, FL. On August 6th, 2020, the… Read More »
Palm Beach County Broker Barred From Securities Industry After Unsuitable Investment Complaints
Marshall Owen Isaacson (CRD #1140370) is a previously registered securities broker. From August of 2007 to July of 2016, Mr. Isaacson was a representative for National Securities Corporation in Boca Raton, Florida. Subsequently, he served as a financial representative for Newbridge Securities., also based at a branch location in Boca Raton. Since 2016, at… Read More »
SEC Charges Florida Resident With Penny Stock Fraud Aimed at Senior Citizen Investors
On September 29th, 2020, the Securities and Exchange Commission (SEC) announced charges against three Florida residents. According to allegations raised by the federal agency, Mason Newman, Christian Baquerizo, and Kevin Cardenas defrauded elderly investors out of nearly $1.5 million in an unregistered penny stock scheme. In this post, our Miami elder investment fraud attorneys… Read More »
Florida Broker Barred After Refusing to Cooperate With an Investigation Into Allegations of Improper Borrowing from Senior Investor
Jean Connell Hicks (CRD #1005922) is a former licensed securities broker. From May of 2005 until July of 2020, she served as a representative for Fortune Financial Services, Inc. During this time, she was located at a branch office in St. Petersburg, Florida. Ms. Connell Hicks also has more than two decades of previous… Read More »
FINRA Complaint: Fort Lauderdale Financial Advisor Accused of Churning, Unsuitable Investments
Bryan G. Mazliach (CRD No. 5518438) is a previously registered FINRA broker. From January of 2015 to September of 2017, Mr. Mazliach was a representative of Laidlaw & Company. Subsequently, he worked as a financial advisor for Westpark Capital. At both firms, Mr. Mazliach was based at a branch office in Fort Lauderdale, Florida…. Read More »
Florida Broker Barred for Failure to Cooperate With Investigation Into Allegations of Elder Investment Fraud
Matthew Vincent Muratori (CRD # 6255633) is a previously registered securities broker and investment adviser. From October of 2017 to March 2018, Mr. Muratori was a representative of Foresters Financial Services. Subsequently, he worked at Pruco Securities, LLC from March 2018 until December of 2019. At both broker-dealers, Mr. Muratori was located in Tampa,… Read More »
Securities and Exchange Commission Awards More than $2.5 Million to Joint Whistleblowers
On September 1st, 2020, the Securities and Exchange Commission (SEC) released a public statement confirming that more than $2.5 million in compensation has been awarded to joint whistleblowers. The award is the 92nd in the history of the program. Approximately $510 million in whistleblower compensation has now been awarded by the agency. This whistleblower… Read More »
SEC Halts Florida’s Financial Advisor’s Fraudulent Securities Offering
On August 26th, 2020, the Securities and Exchange Commission (SEC) published a public announcement stating that emergency regulatory action against a South Florida financial advisor and his investment entity. According to allegations raised by the agency, Coral Gables Asset Management LLC and its owner David C. Coggins defrauded investors. Below, our South Florida securities… Read More »
Broker With Ties to Florida Fined and Suspended for Unauthorized Trades
Sylvester Knox (CRD#: 1625705) is a previously registered broker and actively registered investment advisor (RIA). From August of 2000 to February of 2017, Mr. Knox was employed at Merrill, Lynch, Pierce, Fenner & Smith. Subsequently, he served as a representative for FSC Securities Corporation. In March of 2018, Sylvester Knox was sanctioned by the… Read More »
Florida Broker Fined and Suspended for Selling Away From Member Firm
Jason Nicholas Dukas (CRD #4188239) is a registered broker and investment adviser in Florida. From August of 2011 to July of 2017, Mr. Dukas was employed by Wells Fargo Clearing Services. Since August of 2017, he has been a representative of Stifel, Nicholas & Company Incorporated. In May of this year, FINRA fined this… Read More »
