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Tag: Miami investment fraud lawyer

Blog, Securities Fraud Articles

March 7, 2013

E.S. Financial Services, Inc. fined by FINRA

E.S. Financial Services, Inc. (CRD #104316, Miami, Florida) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm...

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Blog, Securities Fraud Articles

November 14, 2012

SEC Charges Miami-Based Adviser With Hiding Trading Losses and Diverting Client Funds

On November 9, 2012, the Securities and Exchange Commission (the “SEC”) charged a Miami-based investment adviser with defrauding his...

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