Tag: Miami securities fraud attorney
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...
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...
Recovery of Giancarlo Ciocca Investment Losses
Have you suffered losses investing in leveraged or inverse ETFs recommended to you by former Merrill Lynch financial advisor Giancarlo...
CP Capital Securities, Inc. fined for securities violations.
FINRA recently announced that CP Capital Securities, Inc., a registered broker-dealer based in Miami, Florida, has been fined $21,500 for...
