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	<title>Securities Lawyer Blog</title>
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	<description>Victim of Fraud?</description>
	<lastBuildDate>Mon, 20 May 2013 20:34:18 +0000</lastBuildDate>
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		<title>FINRA Suspends Tampa Rep</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3344</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3344#comments</comments>
		<pubDate>Mon, 20 May 2013 20:34:18 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[failure to conduct due diligence]]></category>
		<category><![CDATA[failure to maintain minimum capital in firm]]></category>
		<category><![CDATA[FIRST LEGACY SECURITIES Vestavia Hills AL]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[JONES BYRD & ATTKISSON INC]]></category>
		<category><![CDATA[preferred stock private placement offerings]]></category>
		<category><![CDATA[private placement memorandum]]></category>
		<category><![CDATA[Ronald Lankford Suspended by FINRA]]></category>
		<category><![CDATA[Ronald Lankford Tampa Florida]]></category>
		<category><![CDATA[Ronald Wayne Lankford]]></category>
		<category><![CDATA[SAGE SOUTHEASTERN SECURITIES Atlanta GA]]></category>
		<category><![CDATA[sell stock without PPM]]></category>
		<category><![CDATA[SPARTAN SECURITIES GROUP]]></category>
		<category><![CDATA[Spartan Securities Group Clearwater FL]]></category>
		<category><![CDATA[Spartan Securities Group LTD]]></category>

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		<description><![CDATA[The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Ronald Wayne Lankford (CRD #1751588, Registered Principal, Tampa, Florida) was suspended from association with any FINRA member firm in any principal capacity other than as a FINOP (Series 27) and Introducing Broker-Dealer/FINOP (Series 28) for 18 months; suspended from association [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>Tampa Rep Barred by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3342</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3342#comments</comments>
		<pubDate>Mon, 20 May 2013 20:08:25 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker failing to appear in front of FINRA]]></category>
		<category><![CDATA[broker overstating client account value]]></category>
		<category><![CDATA[client account value overstated by broker]]></category>
		<category><![CDATA[FIFTH THIRD SECURITIES Tampa]]></category>
		<category><![CDATA[Michael Peter Borci Apollo Beach FL]]></category>
		<category><![CDATA[request for information from FINRA]]></category>
		<category><![CDATA[UBS FINANCIAL SERVICES]]></category>
		<category><![CDATA[USB Tampa]]></category>
		<category><![CDATA[WACHOVIA SECURITIES Tampa]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3342</guid>
		<description><![CDATA[Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Michael Peter Borci (CRD #5436457, Registered Representative, Apollo Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Michael Borci consented [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>vFinance of Boca Raton Sanctioned by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3339</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3339#comments</comments>
		<pubDate>Mon, 20 May 2013 19:55:39 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker contacting customers through personal email]]></category>
		<category><![CDATA[high-risk private placements]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[investment losses with vfinance]]></category>
		<category><![CDATA[private placement loss lawyer]]></category>
		<category><![CDATA[supervising email accounts in brokerages]]></category>
		<category><![CDATA[VFinance FINRA complaints]]></category>
		<category><![CDATA[VFinance Investments Inc Boca Raton FL]]></category>
		<category><![CDATA[VFinance losses]]></category>

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		<description><![CDATA[The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) consented to the described sanctions and to the entry of findings that it acted as the private placement agent for a placement of up to $5 million in convertible notes a company [...]]]></description>
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		<title>Tampa Rep Barred by FINRA for Misappropriation of Funds</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3337</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3337#comments</comments>
		<pubDate>Mon, 20 May 2013 18:53:57 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker theft from customers]]></category>
		<category><![CDATA[client funds theft by broker]]></category>
		<category><![CDATA[failure to respond to FINRA requests]]></category>
		<category><![CDATA[misappropriation of funds by broker]]></category>
		<category><![CDATA[Raphael Huaman barred by FINRA]]></category>
		<category><![CDATA[Raphael Huaman Miami Florida]]></category>
		<category><![CDATA[SunTrust Investment Services Inc]]></category>
		<category><![CDATA[SUNTRUST INVESTMENT SERVICES Miami]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3337</guid>
		<description><![CDATA[The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552, and obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Raphael Huaman (CRD #5868404, Registered Representative, Miami, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Huaman [...]]]></description>
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		<item>
		<title>Deerfield Beach, Florida Rep Barred by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3333</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3333#comments</comments>
		<pubDate>Mon, 20 May 2013 16:26:52 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[ALLSTATE FINANCIAL SERVICES]]></category>
		<category><![CDATA[Andrew Lewis Pittman Deerfield Beach FL]]></category>
		<category><![CDATA[Andrew Pittman barred by FINRA]]></category>
		<category><![CDATA[broker being appointed power of attorney by client]]></category>
		<category><![CDATA[broker failure to cooperate with FINRA investigation]]></category>
		<category><![CDATA[broker improper use of funds]]></category>
		<category><![CDATA[elder abuse in investments]]></category>
		<category><![CDATA[failure to provide information to FINRA]]></category>
		<category><![CDATA[QUESTAR CAPITAL CORPORATION]]></category>
		<category><![CDATA[SAMMONS SECURITIES COMPANY]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3333</guid>
		<description><![CDATA[Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented [...]]]></description>
		<wfw:commentRss>http://www.securitieslawyer.com/securitieslawyerblog/?feed=rss2&#038;p=3333</wfw:commentRss>
		<slash:comments>0</slash:comments>
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		<title>Lars Soreide, Esq., Client Award Published in May, 2013, PIABA Bar Journal</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3329</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3329#comments</comments>
		<pubDate>Mon, 13 May 2013 20:10:58 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[fannie mae preferred losses]]></category>
		<category><![CDATA[fannie mae preferred wachoia]]></category>
		<category><![CDATA[FNMA PFD]]></category>
		<category><![CDATA[Lars soreide finra award]]></category>
		<category><![CDATA[Lars Soreide PIABA article]]></category>
		<category><![CDATA[Lars Soreide Soreide Law Group]]></category>
		<category><![CDATA[Wachovia Securities LLC]]></category>
		<category><![CDATA[Wells Fargo Advisors LLC]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3329</guid>
		<description><![CDATA[Lars Soreide, Esq, of Soreide Law Group, PLLC, had a recent FINRA Arbitration award published in the latest edition, May, 2013, of the PIABA Bar Journal. Only the most significant cases are chosen for publication in PIABA. Mr. Soreide was the Claimant&#8217;s counsel and the Respondent was Wachovia Securities, dba Wells Fargo Advisors LLC, and [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>FINRA Joins with National Crime Prevention Council (NCPC) to Help Reduce Investment Fraud</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3327</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3327#comments</comments>
		<pubDate>Fri, 10 May 2013 19:34:28 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[baby boomers losing investments]]></category>
		<category><![CDATA[elder abuse in investments]]></category>
		<category><![CDATA[FINRA and NCPC Investor Education fraud prevention]]></category>
		<category><![CDATA[investment fraud lawyer]]></category>
		<category><![CDATA[Investment Fraud Prevention Programs]]></category>
		<category><![CDATA[Investor Education Foundation FINRA]]></category>
		<category><![CDATA[NCPC and FINRA partner]]></category>
		<category><![CDATA[outsmarting investment fraud]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3327</guid>
		<description><![CDATA[In a May 7th., 2013 article from FINRA&#8217;s website, it was reported that according to the FBI&#8217;s latest Financial Crimes Report to the Public, investment fraud has increased by 52 percent since 2008. Unfortunately, investment fraud is largely underreported, and often targeted are retired citizens and seniors. 77 million baby boomers will be retiring over [...]]]></description>
		<wfw:commentRss>http://www.securitieslawyer.com/securitieslawyerblog/?feed=rss2&#038;p=3327</wfw:commentRss>
		<slash:comments>0</slash:comments>
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		<item>
		<title>FINRA Upholds Disciplinary Sactions; Protects Investors</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3324</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3324#comments</comments>
		<pubDate>Fri, 10 May 2013 19:11:04 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Alan Davidofsky]]></category>
		<category><![CDATA[Alan Davidofsky Delray Beach FL]]></category>
		<category><![CDATA[AllianceBernstein Investments Inc]]></category>
		<category><![CDATA[Brokers sactions upheld by FINRA]]></category>
		<category><![CDATA[FINRA arbitration Lawyer]]></category>
		<category><![CDATA[Jeff Ng]]></category>
		<category><![CDATA[Joseph Amundsen Easton Pennsylvania]]></category>
		<category><![CDATA[NAC]]></category>
		<category><![CDATA[National Adjudicatory Council]]></category>
		<category><![CDATA[Oppenheimer Fund loss lawyer]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3324</guid>
		<description><![CDATA[In a May 9th., 2013 article from Reuters, Suzanne Barlyn writes about the three men, who made a living in the U.S. securities industry, and how it&#8217;s not easy to successfully reverse disciplinary sanctions from FINRA. Penalties are likely to stick, and the consequences can drag out for years. According to the Financial Industry Regulatory [...]]]></description>
		<wfw:commentRss>http://www.securitieslawyer.com/securitieslawyerblog/?feed=rss2&#038;p=3324</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Three Firms Fined $900,000 by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3321</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3321#comments</comments>
		<pubDate>Thu, 09 May 2013 16:26:15 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Atlas One Financial Group LLC]]></category>
		<category><![CDATA[broker money laundering]]></category>
		<category><![CDATA[brokerage supervisory deficiencies]]></category>
		<category><![CDATA[failure to report suspicious broker activity]]></category>
		<category><![CDATA[FINRA fines for money laundering]]></category>
		<category><![CDATA[firm failed to report suspicious activity in brokerage]]></category>
		<category><![CDATA[Firstrade Securities Inc]]></category>
		<category><![CDATA[Frank Brickell World Trade Financial]]></category>
		<category><![CDATA[money laundering]]></category>
		<category><![CDATA[Napoleon Arturo Atlas One]]></category>
		<category><![CDATA[Rodney Michel Firstrade Securities]]></category>
		<category><![CDATA[World Trade Financial Corp]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3321</guid>
		<description><![CDATA[On May 8th., 2013, FINRA, the Financial Industry Regulatory Authority Inc. fined three financial companies $900,000 in total, for failing to stop money laundering and other suspicious transactions, and officials at the firms were fined a total of $100,000. “Today&#8217;s actions reinforce FINRA&#8217;s continued focus on firms&#8217; ability to identify and respond to potential misuse [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>Did You Invest in Diversified Lending Group and/or Applied Equities?</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=3318</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=3318#comments</comments>
		<pubDate>Wed, 08 May 2013 18:20:50 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[AEI]]></category>
		<category><![CDATA[AEI fraud]]></category>
		<category><![CDATA[AEI loss lawyer]]></category>
		<category><![CDATA[Applied Equities Inc]]></category>
		<category><![CDATA[Diversified Lending Group]]></category>
		<category><![CDATA[DLG]]></category>
		<category><![CDATA[DLG loss lawyer]]></category>
		<category><![CDATA[DLG Notes]]></category>
		<category><![CDATA[DLG Ponzi Scheme]]></category>
		<category><![CDATA[Elderly DLG and AEI]]></category>
		<category><![CDATA[real estate investments]]></category>
		<category><![CDATA[secured investment note fraud]]></category>
		<category><![CDATA[stockbroker misrepresentation and omissions in securities sale]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=3318</guid>
		<description><![CDATA[Did your broker/financial advisor sell you an investment in Diversified Lending Group, Inc., and Applied Equities, Inc? The SEC alleges that DLG and AEI raised at least $216 million from hundreds of investors nationwide, many of whom are senior citizens, by promising guaranteed high returns through real estate-related investments. The complaint alleges that the directors [...]]]></description>
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