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

Recent Blog Posts

South Florida Broker Barred By FINRA; Accused of Falsifying Documents

By Staff |

Wilfred Rodriguez Jr. (CRD#: 2504369) served as a registered representative of Wells Fargo Clearing Services from July of 2003 to August of 2018. During his time at the firm, Mr. Rodriguez Jr. was based out of a branch office in Boca Raton, Florida. On August 1st, 2018, Wells Fargo filed a Uniform Termination Notice,… Read More »

Florida Arbitration Panel Awards Investor $210,000

By Staff |

On October 3rd, 2018, a FINRA Arbitration Panel in Tampa, Florida awarded $210,000 in financial compensation to an investor who filed a negligence claim. The securities fraud case was filed against Caldwell International Securities (CRD#: 104323) and two of its former brokers: Sean Francis Lanci (CRD#: 4180997) and Dominic Paul Rota (CRD#: 4886731). Notably,… Read More »

SEC Charges Company, CEO for Selling Unregistered Securities Through EB-5 Immigrant Investor Program

By Staff |

On September 21st, 2018, the Securities and Exchange Commission (SEC) announced an $11.5 million settlement with an Illinois-based company, CMB Export LLC, its Chief Executive Officer Patrick Hogan, and 37 related limited partnerships. This settlement was reached in order to resolve charges related to unregistered securities that were improperly sold to foreign investors who… Read More »

South Florida Broker Suspended for Negligent Supervision

By Staff |

Jose Luis Leon (CRD#: 1789460) served as a registered broker at BAC Florida Investments from 1988 to 2017. During this time, Mr. Leon was based out of a branch office in Coral Gables, Florida. On September 19th, 2018, Jose Luis Leon was suspended from the securities industry for six months and fined $10,000 for… Read More »

SEC Charges Several South Florida Residents in Penny Stock Fraud Scheme

By Staff |

On September 7th, 2018, the Securities and Exchange Commission (SEC) announced fraud charges against ten different individuals in relation to a penny stock fraud scheme. The charges were filed in the United States District Court for the Southern District of the New York. According to the SEC’s complaint, the ten individuals were implicated in… Read More »

SEC Charges Florida Resident With Securities Fraud

By Staff |

On September 10th, 2018, the Securities and Exchange Commission (SEC) announced securities fraud charges against a former Miami Beach, Florida broker named Emil Botvinnik. In the United States District Court for the Southern District of New York, the SEC charged Mr. Botvinnik (CRD#: 4359481) in a multi-million dollar excessive trading (churning) scheme. The alleged… Read More »

SEC Awards Nearly $55 Million to Two Whistleblowers

By Carlson & Associates, P.A. |

On September 6th, 2018, the Securities and Exchange Commission (SEC) announced two new whistleblower awards. One SEC whistleblower was awarded $15 million for disclosures, and another was awarded more than $39 million — that being the second largest award in the history of the program. At Carlson & Associates, P.A., our Miami SEC whistleblower… Read More »

SEC Files Bond Fraud Charges Against South Florida Company

By Staff |

On August 14th, 2018, the Securities and Exchange Commission (SEC) announced investment fraud charges against two companies and eighteen different individuals. One of the investment firms, Core Management Performance, LLC (CPM), is based in Boca Raton, Florida, and was operated by four South Florida individuals: James Scherr of Boca Raton, FL; Deborah Dora of… Read More »

SEC Charges Five Florida-Based Unregistered Brokers with Selling Fraudulent Woodbridge Group Financial Products

By Staff |

On August 20th, 2018, the Securities and Exchange Commission (SEC) announced investment fraud charges against five Florida residents: Barry Kornfeld of Parkland, FL; Ferne E. Kornfeld of Parkland, FL; Andrew G. Costa of Fort Lauderdale, FL; Albert D. Klager of Vero Beach, FL; and Lynette M. Robbins of The Villages, FL. According to the… Read More »

Miami-Dade County Advisor Barred for Refusal to Cooperate With FINRA Investigation into Undisclosed Private Placements

By Staff |

Alex Gerardo Herrera (CRD#: 3204779) is a former broker and investment advisor. Most recently, Mr. Herrera was employed at UBS Financial Services in Coral Gables, Florida. On August 8th, 2018, FINRA barred Mr. Herrera from the securities industry. FINRA took this disciplinary action after this broker refused to cooperate with a regulatory investigation into… Read More »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum


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

MileMark Media - Practice Growth Solutions

© 2015 - 2019 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.