Florida News Straight From the Source
The Florida Office of Financial Regulation reminds securities businesses registered under Chapter 517, Florida Statutes, that the deadline to timely renew has passed. However, the option is still available for securities dealers and investment adviser firms to renew their registration with a reinstatement fee through January 31, 2019. [Read more…] about Industry Alert: Securities Businesses Registration Renewal
Florida is the most military friendly state in the nation, with more than 1.5 million military veterans living in the Sunshine State. Last year, the Florida Legislature passed House Bill 29 to help military members in Florida by allowing for certain financial services business licensure fees to be reimbursed. [Read more…] about Consumer Alert: Military Fee Reimbursement Program
[Read more…] about Key West Trio Arrested for $7 Million Investment Fraud Scheme
The Florida Office of Financial Regulation today announced that the new edition of its Fast Facts is now available. The pocket guide, released annually, provides Floridians with OFR data and trends from the past fiscal year. [Read more…] about OFR Releases New Edition of Fast Facts
The Florida Office of Financial Regulation today announced that Thomas Michael White has been found guilty of mail fraud and conspiracy to commit mail and wire fraud, following a nine-day federal trial. [Read more…] about Parkland Man Guilty in Nearly $2 Million Investment Fraud Scheme
The Florida Office of Financial Regulation’s (OFR) renewal cycle is well underway for businesses and individuals licensed with OFR under Chapters 494, 516, 517, 520, 559, F.S., and a portion of the businesses licensed under Chapter 560, F.S. [Read more…] about OFR License Renewal Process is Open
The Florida Office of Financial Regulation today announced the sentencing of Justin Troy Spearman to more than four years in prison and eight years of probation after pleading no contest to charges of grand theft, securities fraud, selling unregistered securities and selling securities as unregistered agent. [Read more…] about Orlando Man Sentenced to Prison in $3.6 Million Investment Fraud Scheme
Marriott announced Friday that hackers stole data from as many as 500 million guests who made reservations at Marriott’s Starwood properties. [Read more…] about Consumer Alert: Marriott Data Breach
The Florida Office of Financial Regulation today announced the arrest of Daniel Ptak for grand theft and allegedly acting as a money services business without a license.
The Florida Office of Financial Regulation today announced that the agency will participate in a settlement with LPL Financial LLC to repurchase from investors certain securities sold since October 2006 and to pay administrative penalties of $499,000 to Florida upon entering the final order. [Read more…] about OFR to Participate in a $26 Million Multi-State Settlement with LPL Financial LLC
