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"Well done is better than well said."

-Benjamin Franklin

"What we do now echoes in eternity."

-Marcus Aurelius

"If you want to stand out from the crowd, give people a reason not to forget you."

-Richard Branson

"Always do more than is required of you."

-General George S. Patton

"Justice consists . . . [of] finding out the right and upholding it, wherever found, against the wrong."

-Theodore Roosevelt

"Strength . . . . comes from an indomitable will."

-Mahatma Gandhi

"You can’t go back and change the beginning, but you can start where you are and change the ending."

-C.S. Lewis

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A Boutique Securities Enforcement and Business Litigation Firm

 

SCHOEPPL LAW, P.A., based in Boca Raton, Florida, is a boutique securities enforcement and business litigation firm with a national federal trial and appellate practice which focuses on regulatory enforcement in SEC, FINRA,  DOJ, CFTC, FTC, Florida DBPR, and other SRO matters, complex federal and state court commercial litigation on behalf of both plaintiffs and defendants, high stakes litigation and arbitration matters on behalf of investors in selected cases, broker-dealer  and investment adviser defense, and white collar criminal defense arising out of securities enforcement matters.  The Firm is led by a former senior federal prosecutor with the SEC with over 100 reported decisions and is comprised of seasoned litigators who graduated from Harvard Law School, Stanford Law School, Emory University School of Law, and the University of Miami School of Law. 

 

WE HANDLE SIGNIFICANT CASES

Prosecutorial Experience                Receivership Experience                                        Trial Court Experience                                                     Appellate Court Experience

■$33 million SEC savings and loan fraud case

■ Appointed Receiver by federal district court upon the recommendation of the SEC in a $48 million SEC securities fraud case

■Obtained dismissal of federal civil RICO claims arising out of an alleged $200 million penny stock scheme

■Represented Republic of Ecuador in an appeal before the Eleventh Circuit involving the Foreign Sovereign Immunities Act

■$27 million SEC Ponzi scheme case involving 150 investors

■ Appointed Receiver by federal district court upon the recommendation of the SEC in a $3.5 million SEC Ponzi scheme case

■Represented an intervenor in an SEC enforcement action in New York and prevailed on significant issue against the SEC and secured an award of attorney’s fees and costs under the Equal Access to Justice Act (EAJA) in a judgment against the SEC

■Represented a death row inmate in an appeal before the Florida Supreme Court

■$31 million SEC asset overstatement case involving a fraudulent mortgage on a French vineyard

■ Appointed Receiver by federal district court upon the recommendation of the FTC in a $4.2 million FTC business opportunities fraud case

■Represented public company in an SEC enforcement action in Florida that established that it is appropriate to set off losses against profits earned in computing the  amount of disgorgement and resulted in no disgorgement being awarded against the client

■Represented a $400 million hedge fund in an appeal before the Eleventh Circuit

■FBI Award for assistance in federal criminal prosecution resulting in one of the stiffest sentences ever imposed upon a white-collar defendant in South Florida

■ Appointed Receiver by federal district court upon the recommendation of the FTC in a $3 million FTC nationwide franchise fraud case

■Defended business owner in federal criminal prosecution facing life imprisonment for allegedly retrofitting motor yachts with secret compartments used to smuggle 1000 + kilos of cocaine and secured acquittal after a lengthy jury trial

■Represented a client in an appeal before the Eleventh Circuit in an SEC case that changed the law of insider trading

■Commendation from Securities Board of the Netherlands for assistance in the first criminal prosecution under new securities legislation enacted in the Netherlands

■Represented Receiver who was the former United States Attorney for the Southern District of New York in recovering millions of dollars in fraudulent transfer cases arising out of $59 million SEC and CFTC Ponzi scheme case

■Obtained dismissal of federal  private securities litigation case on behalf of a broker-dealer under the Private Securities Litigation Reform Act (“PSLRA”) and secured an award of attorney’s fees and costs under the PSLRA and the district court’s inherent authority in a judgment against the Plaintiffs

■Represented the former president of a major telecommunications company  in an appeal before the Eleventh Circuit in a case against a bank that confirmed that a bank owes of duty of care to a noncustomer

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We Handle Significant Cases

Carl F. Schoeppl prosecuted some of the most notable securities fraud cases on behalf of the SEC in federal courts for over half a decade throughout the Southeastern United States at that time. Significantly, Mr. Schoeppl never lost a case as a prosecutor for the SEC.  Some of the most important enforcement cases Mr. Schoeppl handled at the SEC included, among others, a $33 million financial fraud case involving the failed Commonwealth Savings & Loan Association of Florida (“Commonwealth”), a $27 million Ponzi scheme case involving the defunct Omni Capital Group, Ltd. (“Omni Capital”) and its founder, Thomas R. Mullens (“Mullens”), and a $31 million asset overstatement case against a public company named A.B.E. Industrial Holdings, Inc. (“ABE”) regarding a fraudulent mortgage on a French vineyard.  In both the Commonwealth and Omni Capital cases, Mr. Schoeppl assisted the U.S. Attorney’s Office for the Southern District of Florida in parallel criminal prosecutions that resulted in indictments and convictions of the perpetrators of the respective alleged fraudulent schemes. In connection with the SEC’s case against Mullens, Mr. Schoeppl received the FBI’s Service in the Public Interest Award for assistance he provided in the successful parallel criminal prosecution of Mullens by the U.S. Attorney’s Office for the Southern District of Florida.  In the criminal case, Mullens original term of imprisonment for orchestrating the alleged massive Ponzi scheme for more than $27 million upon 150 victims was 33 years and 9 months which, at the time, was one of the stiffest sentences ever imposed upon a white-collar criminal in South Florida.

Mr. Schoeppl has been appointed as a Receiver by United States District Courts upon the recommendation of the SEC and the FTC  in major securities fraud and consumer fraud regulatory enforcement actions, including:

  • The U.S. District Court for the Southern District of Florida appointed Mr. Schoeppl Receiver in an SEC enforcement action involving a $48 million securities fraud.
  • The U.S. District Court for the Middle District of Florida appointed Mr. Schoeppl Receiver in an SEC enforcement action involving a $3.5 million Ponzi scheme.
  • The U.S. District Court for the Southern District of Florida appointed Mr. Schoeppl Receiver in an FTC enforcement action involving a $3 million nationwide franchise fraud case.
  • The U.S. District Court for the Southern District of Florida appointed Mr. Schoeppl Receiver in an FTC enforcement action involving a multimillion dollar nationwide fraudulent work-at-home scheme.
  • The U.S. District Court for the Southern District of Florida appointed Mr. Schoeppl Receiver in an FTC enforcement action involving a $4.2 million business opportunities fraud upon more than 100 consumers across the United States.

Mr. Schoeppl has handled many other significant cases, including, but not limited to, the following:

  • Mr. Schoeppl represented the Republic of Ecuador in a case before the United States Court of Appeals for the Eleventh Circuit that presented several novel issues regarding appellate jurisdiction and the Foreign Sovereign Immunities Act of 1976.
  • Mr. Schoeppl represented a death row inmate before the Florida Supreme Court and conducted oral argument before the Florida Supreme Court en banc.
  • The firm handled an appeal before the United States Court of Appeals for the Eleventh Circuit which dramatically changed the law of insider trading by establishing the requirement that the SEC prove the existence of a tipper benefit in an insider trading case based upon the misappropriation theory of liability.
  • The firm handled an appeal before the United States Court of Appeals for the Eleventh Circuit that confirmed that a bank owes duty of care to a noncustomer for its customer’s misappropriation when a fiduciary relationship exists between the customer and the noncustomer, the bank knows or ought to know of the fiduciary relationship, and the bank has actual knowledge of the customer’s misappropriation.
  • The firm successfully sought and obtained the dismissal of federal civil RICO claims on behalf of a client in a case arising out of an alleged $200 million penny stock scheme.
  • Otto G. Obermaier, Esq., the former United States Attorney for the Southern District of New York, retained the firm to represent him in his capacity as a Receiver in prosecuting various profiteers arising out of a $59 million Ponzi scheme that was the subject of parallel SEC and CFTC enforcement actions.  The firm handled numerous profiteer actions on behalf of Mr. Obermaier in state and federal court, and  recovered millions of dollars for Mr. Obermaier’s Receivership Estate.
  • The firm represented a retired General who was the former Chief of Staff for the Department of Homeland Security in a commercial litigation matter.
  • The firm represented a retired General who was the former Assistant Chairman for the Joint Chiefs of Staff on National Guard Matters in a commercial litigation matter.
  • The firm represented a retired General who was the former Assistant Secretary of Defense for International Security Affairs in a securities related matter.
  • The firm represented a famous criminal defense attorney in a securities related matter.
  • The firm represented a former professional hockey player in the National Hockey League (NHL), NCAA Champion, and Stanley Cup Champion in a securities related matter.
  • The firm has represented a bank, broker-dealers, registered investment advisors, public and private companies, corporate executives, accountants, accounting firms, lawyers, and law firms in a wide variety of commercial and securities litigation matters on behalf of both plaintiffs and defendants.
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Schoeppl Law, P.A.

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4651 North Federal Highway
Boca Raton, Florida 33431

T. 561-394-8301 | F. 561-394-3121

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