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Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: Investment Fraud

SEC Awards More Than $1 Million To Whistleblower Who Helped Stop Securities Fraud

By Staff |

On June 24th, 2021, the Securities and Exchange Commission (SEC) announced a whistleblower award in excess of $1 million. It is the 179th award that has been granted in the history of the SEC’s whistleblower program. The agency has now given out more than $930 million in financial compensation to securities industry insiders and… Read More »

SEC Charges South Florida Unregistered Investment Adviser With Securities Fraud; Preliminary Settlement Reached

By Staff |

On June 11th, 2021, the Securities and Exchange Commission (SEC) announced the filing of investment fraud charges against Edgar M. Radjabli, an unregistered investment adviser based in Boca Raton, Florida. According to the federal agency, Mr. Radjabli engaged in three separate fraud schemes. Here, our Miami investment fraud lawyers discuss the allegations raised in… Read More »

Miami Beach Broker Fined And Suspended By FINRA

By Staff |

Scott Richard Reynolds (CRD #2705340) is a previously registered FINRA broker. From February of 2005 to March of 2019, Mr. Reynolds was a representative for Spartan Securities Group LTD. in Miami Beach. Subsequent to his time there, he also worked at Avatar Securities, LLC in New York. On March 27th, 2019, Spartan Securities discharged… Read More »

SEC Awards More Than $55 Million To Whistleblowers Across Several Enforcement Actions

By Staff |

Within the last few weeks, the Securities and Exchange Commission (SEC) has awarded tens of millions in financial compensation to several whistleblowers. Under federal law, the securities regulator can grant a financial award valued at between 10 percent and 30 percent of the ultimate recovery when it brings successful enforcement action based on the… Read More »

FINRA Files Misconduct Complaint Against Florida Securities Broker/Investment Advisor

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Clyde Anthony Jensen (CRD#: 5658476) a broker and investment advisor who is currently associated with TD Private Client Wealth LLC in Tampa, Florida. Previously, he served as an associate for a number of different firms, including Ameriprise Financial Services in Fort Myers. The… 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 »

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 »

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