Month: October 2009
SEC Obtains Emergency Relief Against Randy W. Cho For Misappropriation of Investors' Funds and Ponzi Scheme
On October 7, 2009, the Securities and Exchange Commission (SEC) filed an emergency civil action in the U.S. District Court of the Northern...
Won Sok Lee pleads guilty to Ponzi scheme fraud
As first reported by the Sun Sentinel, a former Riviera Beach attorney recently plead guilty to a massive Ponzi scheme investment...
FINRA Fines Broker-Dealers $1.65 Million for Supervisory Failures
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined five bank broker-dealers a total of $1.65 million...
FINRA issues alert about “Phishing” Scam
FINRA recently issued an Alert to warn the public about a recent auction rate securities (ARS) “phishing” scam that promises...
Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, barred from FINRA for securities violations.
FINRA recently announced that Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, has been barred...
