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Miami Investment Fraud Attorney
305.372.9700
2655 South Le Jeune Road
Suite 1108
Coral Gables, FL 33134

Tag Archives: Breach of Fiduciary Duty

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Florida Brokerage Firm Fined $225,000, Ordered to Pay More Than $500,000 in Restitution

By Staff |

Recently, the Financial Industry Regulatory Authority (FINRA) announced sanctions against Invest Financial Corporation (CRD#: 12984), a registered broker-dealer that is based in Tampa, Florida. According to investigators, Invest Financial Corporation failed to identify and apply a large number of sales charge waivers to eligible customers. Full information regarding this case can be found by… Read More »

Financial Adviser Charged with Fraud for Cherry-Picking Trades and Misleading Investors

By Staff |

The Securities and Exchange Commission (SEC) recently announced fraud charges against Laurence I. Balter, a financial adviser based in Hawaii. The charges were brought in relation to operations Balter conducted through his investment firm, Oracle Investment Research. According to the allegations, he ‘cherry-picked’ successful trades and assigned them to his own personal account and… Read More »

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