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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

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 »

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 »

FINRA Sanctions Florida-Based Brokerage Firm for Failure to Supervise

By Staff |

Transamerica Financial Advisors, Inc. (CRD No. 16164/SEC#: 801-38618,8-33429) is a large brokerage firm headquartered in St. Petersburg, Florida. Founded in 1985, Transamerica Financial Advisors has licenses to operate in 53 U.S. states and American territories. According to FINRA the broker-dealer has 25 disclosure, including 19 regulatory events and three securities arbitrations. In December of… Read More »

Florida Broker Suspended for One Year After Failing to Disclose Felony Grand Theft Charge

By Staff |

Cesar A. Barrios (CRD#: 6263225) is a previously registered securities broker. From May of 2015 to August of 2019, Mr. Barrios was a registered representative for PFS Investments. INC (CRD#: 10111/SEC#: 801-72263,8-2648). During his time at the firm, this broker was based at a Miami Lakes branch office. On January 15th 2021, former South… Read More »

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 »

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