Switch to ADA Accessible Theme
Miami Investment Fraud Attorney
305.372.9700
2655 South Le Jeune Road
Suite 1108
Coral Gables, FL 33134

Tag Archives: Miami Investment Fraud Lawyer

FINRA Complaint: Tampa Broker Submitted False Reimbursement; Misled Investigators

By Carlson & Associates, P.A. |

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 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 »

South Florida Broker Barred for Elder Financial Fraud

By Staff |

On July 11th, 2018, the Financial Industry Regulatory Authority (FINRA) announced that it has reached a settlement with Mitchell Yanow (CRD#: 2148171), a former broker of Stifel, Nicolaus & Company. From April of 2015 to May of 2018, Mr. Yanow was employed at the Boca Raton, FL branch office of this brokerage firm. Earlier… Read More »

SEC Shuts Down $100 Million Ponzi Scheme; Florida Man Charged

By Staff |

On June 19th, 2018, the Securities and Exchange Commission (SEC) announced that enforcement officials were shutting down a $102 million Ponzi scheme. Several former FINRA advisors were implicated in the charges. According to the SEC, more than 600 investors throughout the United States were defrauded in this Ponzi scheme. Six men have been charged… Read More »

South Florida Broker Barred for Failure to Cooperate With Investigation Regarding Unsuitable Investments

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) indefinitely barred investment advisor Matthew Singer (CRD #4972708) from the securities industry. Mr. Singer was last employed at Morgan Stanley, working out of an office in Aventura, Florida. This representative has also previously been associated with FBN Securities and Ascendiant Capital Markets. According to investigators, Mr. Singer… Read More »

Florida Executive Pleads Guilty to Orchestrating $150 Million Investment Fraud Scheme

By Staff |

On April 19th, 2018, the United States Department of Justice (DOJ) announced that Antonio Carlos de Godoy Buzaneli, an executive from Coral Gables, Florida, has pleaded guilty to investment fraud charges related to his role in a $150 million investment fraud scheme. According to court documents, Mr. Buzaneli and several co-conspirators carried out the… Read More »

SEC Charges Florida Man With Penny Stock Fraud

By Staff |

On March 9th, 2018, the Securities and Exchange Commission (SEC) filed a civil complaint against Brian Robert Sodi, a penny stock promoter based in South Florida. According to the SEC, Mr. Sodi engaged in a classic ‘pump and dump’ scheme, confidentially buying up shares of lightly traded securities, then dumping all of his holdings… Read More »

Broward County Brokerage Firm Fined $125,000 Inadequate Supervisory System

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) issued a $125,000 fine against TradeStation Securities, Inc. (CRD #39473), a brokerage firm headquartered in Plantation, Florida. This broker-dealer has been in business since 1995 and is licensed to operate in 51 American states and U.S. territories. According to FINRA investigators, TradeStation Securities executed extended hours trades… Read More »

Florida Investment Advisor Fined, Suspended for Unauthorized Transactions

By Staff |

On February 21st, 2018, the Financial Industry Regulatory Authority (FINRA) announced sanctions against Heather Xanthe VanLandingham (CRD#: 5343446), a broker most recently located in Riverview, Florida. According to information provided by FINRA, Ms. VanLandingham was accused of conducting unauthorized transactions on a client’s account. The alleged misconduct in this case occurred in 2016, when… Read More »

Palm Beach Gardens Brokerage Firm Fined for Overcharging Customers

By Staff |

On February 20th, 2018, the Financial Industry Regulatory Authority (FINRA) announced sanctions against GWN Securities, Inc. (CRD#: 128929), a brokerage firm based in Palm Beach Gardens, Florida. This broker-dealer employs more than 600 securities representatives nationwide and is licensed to operate in all 50 States. According to FINRA investigators, GWN Securities, Inc. failed to… Read More »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2021
  • Curtis Carlson 25th Anniversary
  • Curtis Carlson Judicial Edition 2022
  • Curtis Carlson Judicial Edition 2023
  • 2023 Judicial Edition Curtis Carlson
  • 2023 Martindale Hubbell Award Curtis Carlson
  • 2023 Lawyers.com Curtis Carlson
  • 2024 Martindale Hubbell Award Curtis Carlson
  • 2024 Martindale Hubbell Award Curtis Carlson
  • 2024 Martindale Hubbell Award Curtis Carlson
Location

Office
Location

2655 South Le Jeune Road
Suite 1108

Coral Gables, Florida 33134

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 - 2024 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.