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

Tag Archives: Unregistered Securities

SEC Charges Company, CEO for Selling Unregistered Securities Through EB-5 Immigrant Investor Program

By Staff |

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 »

Miami Securities Broker Barred for Selling Unregistered Securities

By Staff |

On June 12th, 2018, the Financial Industry Regulatory Authority (FINRA) announced that Harold Lee Connell (CRD#: 1482623), a registered broker from Miami, Florida has been permanently barred from the securities industry. From 2001 to 2017, Mr. Connell served as the CEO and President of CP Capital Securities, a broker-dealer that was headquartered in Miami…. Read More »

SEC Charges Two Florida Men in $32 Million ICO Scam

By Staff |

On April 2nd, 2018, the Securities and Exchange Commission (SEC) announced investment fraud charges against two Florida men. In a complaint filed in the United States District Court for the Southern District of New York, the SEC alleges that Sorbah Sharma and Robert Farkas, the co-founders of a company named ‘Centra Tech’, concocted an… Read More »

SecFraud

Florida Brokerage Firm Expelled for Selling Unregistered Securities, Providing False Documents

By Staff |

In 2015, Merrimac Corporate Securities, an Altamonte Springs, Florida-based brokerage firm, was permanently barred from the securities industry for misconduct. The firm, along with one of its principals, had filed an appeal on the decision. On May 26th, 2017, a final decision was reached. FINRA’s National Adjudicatory Council (NAC) affirmed the initial ruling (2011027666902),… Read More »

FINRA Permanently Bans Two Florida Brokers for Selling Unregistered Securities

By Staff |

The Financial Industry Regulatory Authority (FINRA) has permanently barred Philip Brisard and Kenley Brisard from having any further association with any FINRA member due to their investment-related misconduct. According to FINRA, both men have consented to the sanctions against them without admitting or denying any culpability. Through their firm, Brisard & Brisard, Inc, the… Read More »

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