Category Archives: Securities Fraud
Florida Broker Barred For Failure To Cooperate With FINRA’s Investigation Into Complaint By Investor
Hans Patrick Kulicke Eveillard (CRD #7190141) is a previously registered securities broker. From September of 2020 to July of 2021, Mr. Eveillard was a representative of Northwestern Mutual Investment Services in Sarasota, Florida. Recently, he was suspended from the securities industry by FINRA for failure to cooperate with an investigation into an ongoing customer… Read More »
Miami Beach, FL Broker Barred For Failure To Cooperate Into Investigation Into Private Securities Transactions
Candido Jose Viyella (CRD #1829255) is a formerly registered securities broker and financial professional. From June of 2009 through December of 2020, Mr. Viyella was a registered representative of Morgan Stanley in Miami, Florida. In May of 2021, this broker was barred from the securities industry after declining to cooperate with a FINRA inquiry… Read More »
Federal Regulators Halt South Florida Investment Scheme
On February 26th, 2019, the Securities and Exchange Commission (SEC) announced investment fraud charges and an asset freeze against two Florida men and one Florida company. The defendants include: Jonathon Turner (aka Jon Barri Brothers) of South Florida; Norman Strell of South Florida; and Castleberry Financial Services Group, LLC, a Wellington, FL-based investment company…. Read More »
FINRA Complaint: Florida Brokers Exploited Elderly Investor
On December 21st, 2018, the Financial Industry Regulatory Authority (FINRA) filed a complaint against two south Florida brokers: Ami Kathryn Forte (CRD No. 2457536) and Charles Joseph Lawrence (CRD No. 3131566). Both Ms. Forte and Mr. Lawrence served as representatives of Morgan Stanley in Palm Harbor, Florida from 2009 to 2016. During their time… Read More »
Fort Lauderdale Securities Broker Sentenced to Six Years in Prison
On December 4th, 2018, the United States Attorney’s Office for the Southern District of Florida announced that Salvatore Colonna — a former Fort Lauderdale-based investment broker — has been sentenced to six years in prison for his role in a multimillion dollar securities fraud scheme. In connection with the case, former securities broker Salvatore… Read More »
South Florida Broker Suspended for Eight Months for Unsuitable Investment Recommendations
David H. Fagenson (CRD#: 1652012) is an actively registered securities broker and investment advisor. Since December of 2016, Mr. Fagenson has been employed at Newbridge Securities Corporation in Boca Raton, Florida. Previously, this representative was also associated with UBS Financial Services (2010 to 2016) and Merrill Lynch (2004 to 2010). On November 21st, 2018,… Read More »
SEC Charges Two Florida Men, Florida Company in Penny Stock Fraud Allegedly Targeted at Senior Investors
On November 15th, 2018, the Securities and Exchange Commission (SEC) filed a complaint in the United States District Court for the Eastern District of New York against five individuals. Several companies were also listed in the complaint. Specifically, securities fraud charges were brought against: Mark Burnett of Rosslyn, New York Jeffrey Miller of Bellmore,… Read More »
FINRA Complaint: Tampa Broker Submitted False Reimbursement; Misled Investigators
Nancy Kimball Mellon (CRD#: 1253484) is a former registered broker and registered investment advisor. From 2012 to 2016, Ms. Mellon was associated with Wells Fargo Clearing Services, LLC based at a branch office in Tampa, Florida. Previously, she was also a representative for Morgan Stanley (2009 to 2012) and for Citigroup (2004 to 2009)…. Read More »
SEC Adds Miami, FL Company to PAUSE Database; Entity Accused of Soliciting Investors Using Misleading Information
On October 31st, 2018, the Securities and Exchange Commission (SEC) announced the addition of 16 unregistered companies and investment entities the official Unregistered Soliciting Entities (PAUSE) list. This database is provided free to the public, as a tool for investors to help them protect themselves from fraud. Companies and investment entities can be added… Read More »
SEC Charges Company, CEO for Selling Unregistered Securities Through EB-5 Immigrant Investor Program
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 »