by wittenberglaw | Sep 8, 2010 | Uncategorized
In October 2009, the Securities and Exchange Commission (SEC) announced that it filed an emergency civil action in the U.S. District Court of the Middle District of Florida, Orlando Division, charging David F. Merrick, a resident of Apopka, Florida,...
by wittenberglaw | Sep 8, 2010 | Uncategorized
On September 2, 2010, the Securities and Exchange Commission (SEC) announced that it filed a complaint in the District of New Jersey against Sandra Venetis, a Branchburg, N.J.-based investment adviser and three of her firms, Systematic Financial Services, Inc.,...
by wittenberglaw | Aug 27, 2010 | Uncategorized
A Bergen County, New Jersey, judge has ordered two law firms – Paul, Weiss, Rifkind, Wharton & Garrison and Lowenstein Sandler – to pay an amount in sanctions that is believed to be sufficient to deter repetition of their misconduct and to compensate...
by wittenberglaw | Aug 27, 2010 | Uncategorized
“To measure the quality of the lawyer by the hourly rate, that’s not the right way to do it.” Christopher L. Weiss, Esq., from the law firm of Weiss Esq., Ferro, Labella & Zucker, LLC. Mr. Weiss said this on June 9, 2010, to the Superior Court...
by wittenberglaw | Aug 15, 2010 | Uncategorized
I have been asked if investors who hold accounts with large broker-dealers containing public securities need to be concerned about becoming a victim of an investment scam. The answer is unequivocally, “yes.” It is important at the onset of the...
by wittenberglaw | Aug 13, 2010 | Uncategorized
On August 3, 2010, the North American Securities Administrators Association (NASAA) released its annual list of top 10 traps that investors know about. NASAA President and Texas Securities Commissioner Denise Voigt Crawford said investors rebuilding nest eggs damaged...
