Office of Financial Regulation  

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IMPORTANT INDUSTRY INFORMATION

 
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bullet Amerifirst Funding Inc., Capital 1st Advisors, L.L.C., And Others
bullet Auction Rate Securities (ARS)
bullet Lou Pearlman and Trans Continental Airlines
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Office Cautions Investors of Fraud during Financial Problems

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Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors

 

Information for Madoff Investors 

For details and important information concerning the Securities and Exchange Commission’s (SEC) actions against Bernard L. Madoff Investment Securities LLC (BMIS) and filing a complaint with the SEC’s Office of Investor Education and Advocacy, please visit their website, http://www.sec.gov.

 
 
 
 

Information Regarding Stanford Group Company

For details and important information concerning the Securities and Exchange Commission’s (SEC) action against Stanford International Bank, LTD, Stanford Group Company, Stanford Capital Management, LLC, R. Allen Stanford, James M. Davis and Laura Pendergest-Holt, please visit the SEC’s website at http://www.sec.gov.   Investors can obtain information about Ralph Zanvey, the court appointed receiver, by visiting the receiver’s website at http://stanfordfinancialreceivership.com/ The receiver may also be contacted by e-mail at info@stanfordfinancialreceivership.com or phone 800-578-9456.

 

On 3/9/09, the FBI issued “SEEKING VICTIMS: In the Stanford Financial Group Case”.  Please review the following information and respond to the FBI as needed.  http://www.fbi.gov/page2/march09/stanford_030909.html

 
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What's New

Notice: Canadian Broker Dealers

Notice: State-Registered Investment Advisers

Summary of Licensing Bill

Secure E-mail

Change in Fingerprint Card Fee – New Rules

 

Senior Designation Rules - Effective 1/18/09


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Florida, Office of Financial Regulation

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