Posts tagged ‘South Florida’
Fort Lauderdale Securities Fraud Attorney
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, the 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 Aventura, Miami, Sunrise, Plantation, Hollywood, Coconut Grove, Coral Gables, and Lighthouse Point.
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 Fort Lauderdale resident, for example, FINRA will likely select Fort Lauderdale for the hearing location but the case will still be administered out of the Boca Raton FINRA office. The Law Offices of David A. Carter, P.A. is set up to handle securities fraud cases at any of FINRA’s hearing locations, including the Fort Lauderdale location.
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 http://www.carterpa.com.
Lorraine Leonie Macko (formerly of RBC Capital Markets Corporation in Miami , Florida ) fined and suspended by FINRA for securities violations.
FINRA recently announced that Lorraine Leonie Macko (formerly of RBC Capital Markets Corporation in Miami , Florida ) has been fined $6,000 and suspended from association with any FINRA member firm in any capacity for a period of one year. The sanctions were based on findings that Lorraine Macko misused her member firm’s funds by causing funds to be credited to her personal firm brokerage account and making withdrawals totaling nearly $5,000 from that account, while failing to timely make deposits corresponding to the posted credits. The findings further stated that Macko’s account did not sufficient funds to cover her withdrawals, which her member firm funded. Finally, the findings stated that Macko caused her member firm’s books and records to be inaccurate as the false credits were reflected in the firm’s books and records.
Macko has not been registered in the industry since April 2007. Prior to working as a financial advisor for RBC Capital Markets Corporation, Macko was registered with RBC Dain Rauscher, Inc. and Wachovia Securities.
If you have any questions about investments you made with Ms. Macko or RBC Capital Markets 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
Miami, Key Largo, Coral Gables, Coconut Grove, Miami Beach, Aventura, Hallandale, and Hollywood. 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.
Boca Raton, Florida Securities Fraud Attorney
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, the 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, Boynton Beach, Plantation, Westin, Deerfield Beach, Lighthouse Point, Fort Lauderdale, Vero Beach, and Jupiter.
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.
Broad Street Securities, Inc. (a broker-dealer based in Plantation, Florida) fined and censured by FINRA for securities violations (including failure to supervise).
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.
BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) fined and censured by FINRA
FINRA (formerly the NASD) recently announced that BGC Financial, L.P. (a FINRA broker-dealer based in New York City ) was censured and fined $10,000. Without admitting or denying the findings, BGC Financial consented to the entry of findings that it failed, within 90 seconds after execution, to transmit last sale reports of transactions in designated securities to the FINRA/NASDAQ Trade Reporting Facility (TRF). The findings further stated that BGC Financial failed to report the correct symbol indicating the capacity in which it executed transactions in reportable securities to the TRF, and also failed to report the correct execution time for transactions in reportable securities. This is not the first time that BGC Financial has been investigated by a regulatory agency for possible securities violations or securities fraud.
According to the firm’s FINRA Broker Report (CRD), BGC Financial has been the subject of at least 6 regulatory investigations for violations of securities laws.
If you have questions about investments you made with BGC Financial or believe that you are the victim of a securities fraud, the Law Offices of David A. Carter may be able to help. David A. Carter is a South Florida based securities fraud attorney that reviews securities fraud cases throughout the country and Florida, including securities fraud cases in Delray Beach, Boynton Beach, Boca Raton, Fort Lauderdale, West Palm Beach, Jupiter, and Vero Beach. For more information, please contact us at 561-750-6999, or email us at contact@carterpa.com.