The White Law Group, LLC » Delray Beach

Jennifer Cheeseman barred from securities industry

CarterPA — Mon, 12 Jul 2010 19:16:00 +0000

FINRA recently announced that Jennifer Evelyn Cheeseman, a former financial advisor with NY Life Securities in Stapleton, Alabama, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cheeseman consented to the described sanctions and to findings that she altered term life insurance policies in order to falsely represent that a husband and wife applying for insurance had life insurance as set forth in the invalid policy contracts. The findings further stated that Cheeseman sent the customers a policy that belonged to other customers, after falsifying the applicants’ names and the dates of the policy.

If you have questions regarding investments you made with Jennifer Cheeseman or NY Life Securities, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. The White Law Group is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm has over 30 years of experience reviewing securities fraud claims throughout the country and Alabama, including reviewing securities fraud claims in Stapleton, Mobile, Spanish Fort, Gulf Shores, and Dauphin Island. To contact the firm, please call 312-238-9650. Or, for more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com.

Delray Beach Bankruptcy Attorney

CarterPA — Thu, 10 Dec 2009 01:42:33 +0000

The Law Offices of David A. Carter, P.A. is a South Florida securities fraud and bankruptcy law firm based in Boca Raton, Florida. The Firm handles bankruptcy cases on behalf of debtors throughout South Florida, including handling bankruptcy cases (primarily Chapter 7 and Chapter 11 bankruptcy matters) on behalf of debtors based in Delray Beach, Boynton Beach, Lake Worth, Deerfield Beach, Plantation, Parkland, Highland Beach, Pompano Beach, and Fort Lauderdale.

David A. Carter has been handling bankruptcy cases on behalf of debtors for over 25 years.

For more information on the Law Offices of David A. Carter, P.A.’s bankruptcy practice, please visit our bankruptcy page at http://www.carterpa.com/bankruptcy. To schedule an appointment to discuss your bankruptcy rights, please call 561-750-6999 or send us an email at contact@carterpa.com.

Broad Street Securities, Inc. (a broker-dealer based in Plantation, Florida) fined and censured by FINRA for securities violations (including failure to supervise).

CarterPA — Thu, 03 Dec 2009 23:20:44 +0000

FINRA recently announced that Broad Street Securities, Inc. (a FINRA registered broker-dealer based in Plantation, Florida) has been censured and fined $10,000. Without admitting or denying the findings, the Broad Street Securities, Inc. consented to the entry of findings that the firm, acting through an individual financial advisor, failed to establish and maintain a system to supervise a registered representative who the firm employed. The findings further stated that Broad Street Securities and an individual failed to establish procedures addressing heightened supervision and failed to implement heightened supervision of the registered representative (heightened supervision is usually put in place after a financial advisor has exhibited a failure to follow certain compliance rules, particularly with respect to his/her dealings with clients). According to Broad Street Securities’ FINRA Broker Report (CRD), this is not the first time that the firm has been named in a claim or investigation related to securities fraud or failure to supervise. In fact, Broad Street Securities has been named in at least 6 regulatory investigations and three customer complaints. The principle and majority owner of Broad Street Securities appears to be Stuart Gregory Burchard. If you have any questions about investments you made with Broad Street Securities or if you believe that you have been the victim of a securities fraud, the Law Offices of David A. Carter, P.A. may be able to help. David A. Carter is a securities fraud attorney based in Boca Raton, Florida. He reviews securities fraud cases throughout the country and Florida, including securities fraud cases in Plantation, Westin, Fort Lauderdale, Sunrise, Hollywood, Pompano Beach, Deerfield Beach, Delray Beach, and Boynton Beach. To contact us, please call us at 561-750-6999 or send an email to contact@carterpa.com. For more information on the firm, please visit http://www.carterpa.com.

Delray Beach Securities Fraud Attorney

CarterPA — Sun, 01 Nov 2009 22:42:46 +0000

The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton.

The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA Dispute Resolutions’ Southeast headquarters (FINRA’s Southeast office is located at Boca Center Tower 1, 5200 Town Center Circle, Boca Raton, FL 33486- less than one mile from our office).
Having our office located so close to FINRA’s Southeast headquarters has its advantages, particularly since all cases filed in the southeast portion of the United States are administered out of FINRA’s Boca Raton, Florida Dispute Resolution office. In fact, any securities fraud cases filed with FINRA on behalf of a customer living in Florida, Georgia, Alabama, North Carolina, South Carolina, Mississippi, Arkansas, Tennessee, Louisiana, Virginia, Puerto Rico, Delaware, and Washington, D.C. will likely be assigned to FINRA’s Southeast Region office and administered out of the Boca Raton, Florida office.

Although located in Boca Raton, Florida because of the benefit of having its office close to FINRA’s Southeast headquarters, Law Offices of David A. Carter, P.A. handles securities fraud cases throughout Florida and the country, including reviewing and handling securities fraud cases in Delray Beach, Florida. In addition to handling securities fraud cases in Delray Beach, the firm also handles securities fraud cases in the surrounding area, including reviewing and handling securities fraud cases in Boynton Beach, Riviera Beach, Wellington, Highland Beach, Gulfstream, Lake Worth, Palm Beach, and Jupiter Island.

It should be noted, that in addition to Boca Raton, Florida, FINRA Dispute Resolution’s Southeast Region has hearing locations for investor claims/securities fraud cases in Atlanta, Georgia; Baltimore, Maryland; Birmingham, Alabama; Charlotte, North Carolina; Columbia, South Carolina; Ft. Lauderdale, Florida; Jackson, Mississippi; Jacksonville, Florida; Little Rock, Arkansas; Memphis, Tennessee; Miami, Florida; Nashville, Tennessee; New Orleans, Louisiana; Norfolk, Virginia; Orlando, Florida; Raleigh, North Carolina; Richmond, Virginia; San Juan, Puerto Rico; Tampa, Florida; Washington, DC; and Wilmington, Delaware. Accordingly, just because a case filed in the Southeast portion of the country is administered by FINRA’s Boca Raton, Florida office, does not mean that a customer’s case will be heard in Boca Raton. Generally speaking, FINRA will select the hearing location closest to the investor’s residence. As such, for a Delray Beach resident, FINRA will likely select Boca Raton, Florida for the hearing location. The Law Offices of David A. Carter, P.A. is set up to handle securities fraud cases at any of FINRA’s hearing locations.

To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A., you can also visit our website at www.carterpa.com.

Delray Beach Securities Brokerage Firm PMK Securities

CarterPA — Sun, 16 Aug 2009 19:37:58 +0000

PMK Securities & Research, Inc. is a full service securities brokerage firm and registered investment adviser headquartered in Delray Beach, Florida (on Atlantic Avenue in downtown Delray Beach). According to its website, PMK Securities and its predecessor firm have provided a range of products and services for private clients, corporations and institutional investors for over 18 years. It further claims to have become one of the largest privately-owned firms in the region.
PMK Securities clears its trades through First Clearing, LLC, a subsidiary of Wachovia Securities.
According to PMK Securities’ FINRA Broker Report, PMK Securities has been named in four regulatory events. The State of Florida has investigated PMK Securities for failure to maintain and implement written supervisory procedures in accordance with FINRA Rule 3010 and Rule 3E-600.13 of the Florida Administrative Code. PMK Securities has also been fined $1,000 by FINRA for failure to enforce its written supervisory procedures.
If you have questions about investment you have made with PMK Securities, or if you believe that you have been the victim of a securities fraud, the Law Offices of David A. Carter, P.A. may be able to help. The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton. David Carter is a securities attorney that reviews securities fraud cases throughout the country and Florida, including securities cases in Delray Beach, Boynton Beach, Orlando, Jacksonville, Tampa, Tallahassee, Gainesville, and West Palm Beach. To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A., you can also visit our website at www.carterpa.com.