Switch to ADA Accessible Theme
Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: Investment Fraud

SEC Starts New Year By Issuing Several Whistleblower Awards

By Staff |

On January 7th, 2021, the Securities and Exchange Commission (SEC) kicked off 2021 by issuing five new whistleblower cases. Three of the awards are related to a similar underlying case and the other two pertain to separate matters. The SEC’s whistleblower program is designed to incentivize securities insiders and other knowledgeable people to disclose… Read More »

Florida Broker Fined, Suspended By FINRA for Rule 2010 Violations

By Staff |

Angel Simpson (CRD#: 6488474) is a FINRA registered securities broker. From July of 2015 through July of 2019, Ms. Simpson was a representative of AXA Advisors in Orlando. Since the summer of 2019, she has been associated with GWN Securities Inc, also in Central Florida. On December 15th, 2020, Ms. Simpson was fined $5,000… Read More »

Unregistered Florida Investment Advisor Charged With Defrauding Municipality

By Staff |

On December 1st, 2020, the Securities and Exchange Commission (SEC) published a press release announcing investment fraud charges against Eugenio Garcia Jimenez, Jr., an unregistered financial advisor who was most recently based in Orlando, Florida. Federal officials allege that Mr. Garcia Jimenez Jr. knowingly defrauded the municipality of Mayagüez, Puerto Rico out of nearly… Read More »

SEC Charges Man With Securities Fraud, Allegedly Operated Boiler Room in Boca Raton, Florida

By Staff |

On December 1st, 2020, the Securities and Exchange Commission (SEC) announced securities fraud charges against Mark Alan Lisser of Massapequa, New York. During the relevant review period, Mr. Lisser was the owner and primary operator of an investment firm called Knightsbridge. He is accused of managing two boiler rooms—one in Long Island and one… Read More »

South Florida Financial Advisor Fined $10,000 and Suspended for 16 Months for Taking Improper Loans from Customers

By Staff |

Michael Kris Pina (CRD #5922058) was registered as a securities broker from September of 2013 to March of 2019. During that time, he worked at PFS Investments Inc. in Fort Lauderdale, Florida. In 2019, Mr. Pina was permitted to resign from the brokerage firm after allegedly taking improper loans from at least four different… Read More »

SEC Issues Litigation Update: Agency Obtains Judgment in Civil Case Against a Florida-Based Investment Adviser

By Staff |

On November 9th, 2020, the U.S. Securities and Exchange Commission (SEC) released a litigation update in its case against David C. Coggins, his Florida-based company Coral Gables Asset Management, and two other relief defendants. In August, the federal regulator filed civil charges in the United States District Court for the Southern District of Florida…. Read More »

SEC Issues Largest Whistleblower Award in History—$114 Million in Total Compensation

By Staff |

On October 22nd, 2020, the Securities and Exchange Commission (SEC) released an official press statement confirming that the federal agency recently issued the largest whistleblower award in its history. The record-setting $114 million whistleblower award is made up of $52 million from the SEC and $62 million in a related action from another, unidentified… Read More »

Former West Palm Beach Broker Suspended for Taking Undisclosed Loan from Customer

By Staff |

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

By Staff |

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 »

Florida Broker Barred After Refusing to Cooperate With an Investigation Into Allegations of Improper Borrowing from Senior Investor

By Staff |

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 »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2021
Location

Office
Location

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

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

Connect
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.