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

Tag Archives: South Florida Investment Fraud Lawyers

Florida Financial Advisor Barred From Securities Industry for Converting Customer Funds

By Staff |

On January 8th, 2018, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers issued a decision in the disciplinary proceedings against Florida securities broker Jeffrey E. Krupnick (CRD#: 4307569). Mr. Krupnick was most recently employed at Ameriprise financial services (2015-2017) and Wells Fargo Advisors, LLC (2008-2014). For both broker-dealers, Mr. Krupnick was based… Read More »

FinanSec

Owners of Day Trading Firm Charged with Defrauding Inexperienced Investors

By Staff |

The Securities and Exchange Commission (SEC) has filed investment fraud charges against Naris Chamroonrat and Adam L. Plumer for their role in creating a scheme that defrauded several hundred investors from all over the globe. According to the agency, the two men operated a fake day trading firm and used it to bilk investors… Read More »

FINRA Sanctions Merrill Lynch for Inadequate Supervision of Customer Accounts

By Staff |

On November 30th, 2016, the Financial Industry Regulatory Authority (FINRA) has announced more than $7 million in penalties against Merrill Lynch. The wealth management company was hit with $6.25 million in fines and was ordered to pay another $788,000 in restitution to the affected customers. Merrill Lynch consented to the sanctions, but did not… Read More »

Financial Firm Censured and Fined by FINRA for Multiple Violations

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) censured Caldwell International Services Corporation and fined the firm $1,000,000. The company was also forced to pay $1,026,089.48 in restitution to the affected clients. The penalties came in response to the company’s repeated violations of fiduciary duty to its customers and violations investment regulations. The firm’s principal,… Read More »

Commodity Related Investment Fraud Lawsuit Filed in Florida Court

By Staff |

A lawsuit has been filed alleging that a Palm Beach County company has engaged in nearly $3 million of precious metal fraud. The lawsuit, which was brought in U.S. District Court, was filed by the United States Commodity Futures Trading Commission (CFTC) against Berkeley Enterprises. If you believe that you have been the victim… Read More »

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