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Carl Schoeppl

Managing Shareholder

Carl F. Schoeppl is the Managing Shareholder of the Law Firm of Schoeppl Law, P.A.  Mr. Schoeppl is a former senior federal prosecutor with the United States Securities and Exchange Commission (“SEC”), Division of Enforcement, and prosecuted some of the most notable  securities fraud cases on behalf of the SEC in federal courts throughout the Southeastern United States at that time, including  SEC v. Chapnick,  [1993-1994 Transfer Binder] Fed. Sec. L. Rep. (CCH) ¶ 98,076 (S.D. Fla. Feb. 11, 1994)(an insider trading and $33 million securities fraud case involving former officers of the failed Commonwealth Savings and Loan Association of Florida); and  SEC v. Bradt, [Current Transfer Binder] Fed. Sec. L. Rep. (CCH) ¶ 98,624 (S.D. Fla. Mar. 7, 1995)(a $27 million “Ponzi” scheme case involving the notorious con-man Thomas R. Mullens and the defunct Omni Capital Group, Ltd.).  Significantly, Mr. Schoeppl never lost a case as a prosecutor for the SEC. Mr. Schoeppl also served as Ethics Counsel for the SEC’s Southeast Regional Office, and was responsible for rendering ethics opinions and legal advice on ethical issues to a staff of over fifty.  Mr. Schoeppl was the SEC’s representative on the Organized Crime Task Force in the U.S. Attorney’s Office for the Southern District of Florida and participated in advising on securities-related matters with the FBI, IRS, the U.S. Secret Service, the U.S. Postal Inspector, and other federal agencies in major organized crime investigations conducted by the U.S. Attorney’s Office for the Southern District of Florida.   Prior to his tenure at the SEC, Mr. Schoeppl was a Special Assistant District Attorney in Atlanta, Georgia with responsibility over trying major felony criminal cases.  

Mr. Schoeppl has  been appointed by the United States District Court for the Middle District of Florida, upon the recommendation of the SEC,  as the Receiver for five different corporations in an SEC enforcement action styled SEC v. Schaefer, et al., Case No. 98-343-CIV-ORL-22A (M.D. Fla.)($3.5 million securities fraud/Ponzi scheme case involving the sale of promissory notes). Mr. Schoeppl has also been appointed by the United States District Court for the Southern District of Florida, upon the recommendation of the Federal Trade Commission (“FTC”), as the Receiver for Transworld Enterprises, Inc. in an FTC enforcement action styled FTC v. Transworld Enterprises, Inc., et al., Case No. 00-8126-CIV-GRAHAM (S.D. Fla.)($3 million nationwide franchise fraud case involving the sale of ATM business opportunities).  Mr. Schoeppl was appointed by the United States District Court for the Southern District of Florida, upon the recommendation of the SEC, to serve as the Receiver for U.S. Capital Funding, Inc. in a $48 million securities fraud case styled SEC v. First Capital Services, Inc., et al., Case No. 00-8445-CIV-MIDDLEBROOKS (S.D. Fla.).  Mr. Schoeppl was appointed by the United States District Court for the Southern District of Florida, upon the recommendation of the FTC, as Temporary Receiver for America’s Shopping Network, Inc. (“ASN”), Consumer Services, Inc., Karen Zagami, Carianne Sica, Louis Gangi, HME, Inc., and John Epstein in an FTC enforcement action styled FTC v. America’s Shopping Network, Inc., et al., Case No. 02-80540-CIV-HURLEY (S.D. Fla.).  In ASN, the Defendants allegedly conducted a nationwide fraudulent work-at-home scheme.  Mr. Schoeppl was appointed by the United States District Court for the Southern District of Florida, upon the recommendation of the Federal Trade Commission (“FTC”), as the Receiver for Fidelity ATM, Inc. (“Fidelity ATM”) and Steinberg Group, Inc. (“Steinberg Group”) in an FTC enforcement action styled FTC v. Fidelity ATM, Inc., et al., Case No. 06-81101-CIV-HURLEY-HOPKINS (S.D. Fla.).  In Fidelity ATM, the FTC alleged that Fidelity ATM fraudulently sold automated teller machines to more than 100 consumers across the United States in a $4.2 million scheme.   Mr. Schoeppl has also served as an expert witness for the SEC in SEC v. Web Hosting Headquarters Partnership, et al., Case No.: 00-4975-CIV-HIGHSMITH/GARBER (S.D. Fla.).  Mr. Schoeppl is a Florida Supreme Court Certified Circuit Civil Mediator.

Current Employment Position:

  • Managing Shareholder and Founding Shareholder of Schoeppl Law, P.A.

Areas of Practice:

  • Appellate Practice
  • Broker-Dealer Enforcement Practice
  • Business Litigation and Arbitrations
  • Customer Arbitrations in High Stakes Matters
  • Investment Adviser Enforcement Practice
  • Mediation Practice
  • Receivership Litigation
  • Regulatory Defense
  • SEC Enforcement Practice
  • Securities Litigation
  • Trial Support
  • White Collar Criminal Defense

Litigation Percentage:

  • 100% of Practice Devoted to Litigation (Approximately 50% for Plaintiffs and 50% for Defendants.

Court Appointments:

ReceiverSEC v. Schaefer, et al., Case No. 98-343-CIV-ORL-22A (M.D. Fla.).

Mr. Schoeppl, upon the recommendation of the SEC, was appointed as the Receiver for Asset Management and Planning Group, Inc., American Capital and Equity Corporation, Steven R. Schaefer & Associates, Inc., Bristol Insurance, Inc., and AMPG, Inc. by the United States District Court for the Middle District of Florida. 

Receiver, FTC v. Transworld Enterprises, Inc., et al., Case No. 00-8126-CIV-GRAHAM (S.D. Fla.)

Mr. Schoeppl, upon the recommendation of the FTC, was appointed as the Receiver for  Transworld Enterprises, Inc. d/b/a ATM International by the United States District Court for the Southern District of Florida.

Receiver, SEC v. First Capital Services, Inc., et al., Case No. 00-8445-CIV-MIDDLEBROOKS (S.D. Fla.). Mr. Schoeppl, upon the recommendation of the SEC, was appointed as the Receiver for U.S. Capital Funding, Inc. by the United States District Court for the Southern District of Florida.

Receiver, FTC v. America’s Shopping Network, Inc., et al., Case No. 02-80540-CIV-HURLEY (S.D. Fla.). Mr. Schoeppl, upon the recommendation of the FTC, was appointed Temporary Receiver for America’s Shopping Network, Inc., Consumer Services, Inc., Karen Zagami, Carianne Sica, Louis Gangi, HME, Inc., and John Epstein by the United States District Court for the Southern District of Florida.

Receiver, FTC v. Fidelity ATM, Inc., et al., Case No. 06-81101-CIV-HURLEY-HOPKINS (S.D. Fla.). Mr. Schoeppl, upon the recommendation of the FTC, was appointed as the Receiver for Fidelity ATM, Inc. and Steinberg Group, Inc. by the United States District Court for the Southern District of Florida.

Prosecutorial Background:

  • United States Securities and Exchange Commission, Miami, Florida
    • Division of Enforcement
    • Senior Counsel, 1993-1995
    • Staff Attorney, 1990-1993
    • Ethics Counsel, 1990-1995
    • Honors and Awards:   Service in the Public Interest Award from the FBI
    • Received award from the Federal Bureau of Investigation for substantially contributing to the successful criminal prosecution of a white-collar defendant in a $27 million money laundering scheme.
  • Commendation from Securities Board of the Netherlands
    • Received commendation from the Securities Board of the Netherlands for assistance to the first criminal prosecution under new securities legislation enacted in the Netherlands in Securities Board of the Netherlands v. BiG Allfinanz
  • District Attorney’s Office of Fulton County, Atlanta, Georgia,
    • Felony Division
    • Special Assistant District Attorney, 1989-1990

Public Speaking:

  • Violations of Securities Exchange Act of 1934: Insider Trading
    • Guest Lecturer at Nova Southeastern University Shepard Broad Law Center on March 9, 2015
    • Winter 2014 Corporate Workshop – SEC Enforcement
    • Sponsored by Nova Southeastern University Shepard Broad Law Center                           
  • Violations of Securities Exchange Act of 1934: Ponzi Schemes
    • Guest Lecturer at Nova Southeastern University Shepard Broad Law Center on March 18, 2013
    • Winter 2013 Corporate Workshop – SEC Enforcement
    • Sponsored by Nova Southeastern University Shepard Broad Law Center                                                                                 
  • The Conduct of a Civil Trial in Federal Court
    • Address at the Federal Practice Seminar on February 26, 1997
    • Sponsored by the Florida Bar
  • Hedging Your Bets: Preserving the Record for Appeal:
    • Address at the Litigation Poker Table Seminar on October 20, 1995
    • Sponsored by The Academy of Florida Trial Lawyers, Commercial Litigation Section

Teaching:

  • Nova Southeastern University Shepard Broad Law Center
    • Adjunct Professor, Trial Advocacy, 1996-1998, 2007, 2009, and 2010
    • Taught  trial  advocacy  to  law  students  through  live  lectures  covering topics ranging from direct examination, cross examination, demonstrative evidence,  real  evidence,  and voir dire through closing argument.
  • National Institute for Trial Advocacy (NITA)
    • Instructor, Trial Skills, 1994-1999, and 2004
    • Taught  trial  skills  to  practicing attorneys through simulation models and live lectures covering topics ranging from pretrial motions, direct and cross examination, and foundations for the admissibility of documentary, demonstrative and real evidence to impeachment techniques. 
  • National Institute for Trial Advocacy (NITA)
    • Instructor, Deposition Skills, 1998-1999
    • Taught deposition skills to practicing attorneys through simulation models and live lectures covering topics ranging from developing a record, laying evidentiary foundations, examining lay and expert witnesses, handling documentary exhibits, responding to objections, and deposing hostile witnesses.
  • Rollins College
    • Instructor, Civil and Criminal Litigation, 1992
    • Taught the core course in the Rollins College Graduate Litigation Paralegal Program.  Presented over 156 hours of live lectures on all aspects of state and federal civil and criminal pretrial litigation.

Expert Witness Activities (Represents Less than 5% of time based upon the total number of hours):

  • Expert Witness, Reasonableness of Attorneys Fees in Underlying SEC Enforcement Action, The Florida Bar v. Stephen Bruce Rakusin, Supreme Court Case No. SC15-390, The Florida Bar File Nos.: 2011-51,359 (17A) and 2014-50,657 (17A)
  • Expert Witness, SEC Enforcement Practices and Procedures and Standard of Care, Kenneth Brown, et al. v. Gardiner Koch Weisberg & Wrona f/k/a Gardiner Koch & Weisberg, Case No. 50-2009CA-42031 (Cir. Ct., Palm Beach County, Fla.)
  • Expert Witness, SEC Enforcement Practices and Procedures, Shelley Cohen v. Morgan Stanley Dean Witter, Inc., NASD Case No. 05-02203
  • Expert Witness for the SEC, Attorneys Fees, SEC v. Web Hosting Headquarters Partnership, et al., Case No.: 00-4975-CIV-HIGHSMITH/GARBER (S.D. Fla.)
  • Expert Witness, Attorneys Fees, Michael E. Wright v. Sam A. Ruth, Case No. CL-99-4152-AJ (Fla. Cir. Ct., Palm Beach County);
  • Expert Witness, Attorneys Fees, Dion M. Dorizas d/b/a Atlantic Financial Corporation v. Sir Nick, Inc., et al., Case No. MC-99-6295-RB  (Fla. Cir. Ct., Palm Beach County)
  • Expert Witness, Attorneys Fees, In re: Nat Ruderman Revocable Living Trust: Zucker v. Ruderman, Case No. CP-98-5609-IY (Fla. Cir. Ct., Palm Beach County) 
  • Expert Witness, Attorneys Fees, Thomas F. Mazzei v. Sterling Palmer, et al., Case 00014371 (Fla. County Ct., Broward County)
  • Expert Witness, Attorneys Fees,  Bonnie A. Pearce v. Seawinds Healthcare Services, LLC, Case No. SS-01-733-RD (Fla. County Ct., Palm Beach County)

Selected Reported Opinions:

  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 16-13047-AA, 2017 WL 5991848 (11th Cir. Aug. 18, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29MRM, 2017 WL 3141288 (M.D. Fla. July 25, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29MRM, 2017 WL 3188502 (M.D. Fla. July 25, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 2:16-CV-47-FTM-99MRM, 2017 WL 1885326 (M.D. Fla. May 8, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29MRM, 2017 WL 1830569 (M.D. Fla. May 8, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • 262 F. Supp. 3d 1312 (M.D. Fla. 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
  • No. 215CV328FTM29MRM, 2017 WL 991476 (M.D. Fla. Mar. 15, 2017), objections overruled, No. 215CV328FTM29MRM, 2017 WL 1830569 (M.D. Fla. May 8, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • 233 F. Supp. 3d 1297 (M.D. Fla. 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
  • No. 215CV328FTM29MRM, 2016 WL 1572388 (M.D. Fla. Apr. 19, 2016),          reconsideration denied, No. 215CV328FTM29MRM, 2017 WL 3141288 (M.D. Fla. July 25, 2017), and appeal dismissed, No. 16-13047-AA, 2017 WL 5991848 (11th Cir. Aug. 18, 2017)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29DNF, 2016 WL 7232580 (M.D. Fla. Feb. 2, 2016)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29MRM, 2016 WL 374953 (M.D. Fla. Feb. 1, 2016)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29MRM, 2016 WL 7239903 (M.D. Fla. Jan. 5, 2016)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
    • No. 215CV328FTM29MRM, 2016 WL 25916 (M.D. Fla. Jan. 4, 2016)
  • Absolute Activist Value Master Fund Ltd. v. Devine,
  • No. 215CV328FTM29DNF, 2015 WL 12838168 (M.D. Fla. July 1, 2015), modified, No. 215CV328FTM29DNF, 2015 WL 12839169 (M.D. Fla. Aug. 24, 2015), and modified, No. 215CV328FTM29DNF, 2016 WL 7232580 (M.D. Fla. Feb. 2, 2016)
  • Aquamar, S.A. v. DelMonte Fresh Produce, N.A., Inc.,
    • 179 F.3d 1279 (11th Cir. 1999)
  • Beck-Ford Construction, LLC v. TCA Global Credit Master Fund, LP,
  • 240 F. Supp. 3d 1256 (S.D. Fla. 2017), aff’d in part, rev’d in part sub nom. Viridis Corp. v. TCA Global Credit Master Fund, LP, No. 17-11237, 2018 WL 272009 (11th Cir. Jan. 3, 2018)
  • Buckeye Ventures, Inc. v. Trafalgar Capital Specialized Investment Fund Luxembourg,
    • Nos. 09-60299-CIV-COHN & 09-60230-CIV-COHN,
    • 2009 WL 2477470 (S.D. Fla. Aug. 11, 2009)
  • Cadle Co. v. G&G Associates,
    • 757 So. 2d 1278 (Fla. 4th DCA 2000)
  • Cadle Co. v. G & G Assoc.,
    • 741 So. 2d 1257 (Fla. 4th DCA 1999)
  • Cadle Co. v. G & G Assoc.,
    • 737 So. 2d 1136 (Fla. 4th DCA 1999)
  • Chang v. JPMorgan Chase Bank, N.A.,
    • 845 F.3d 1087 (11th Cir. 2017)
  • Chang v. JPMorgan Chase Bank, N.A.,
  • 841 F.3d 914 (11th Cir. 2016), opinion vacated and superseded on reh’g, 845 F.3d 1087 (11th Cir. 2017)
  • Chang v. JPMorgan Chase Bank, N.A.,
  • 138 F. Supp. 3d 1352 (S.D. Fla. 2015), vacated, 841 F.3d 914 (11th Cir. 2016), opinion vacated and superseded on reh’g, 845 F.3d 1087 (11th Cir. 2017), and rev’d, 845 F.3d 1087 (11th Cir. 2017)
  • Chang v. JPMorgan Chase Bank, N.A.,
  • No. 1:14-CV-20368-KMM, 2015 WL 5944232 (S.D. Fla. July 21, 2015), rev’d, 841 F.3d 914 (11th Cir. 2016), opinion vacated and superseded on reh’g, 845 F.3d 1087 (11th Cir. 2017), and rev’d, 845 F.3d 1087 (11th Cir. 2017)
  • Chang v. JPMorgan Chase Bank, N.A.,
    • No. 1:14-CV-20368-KMM, 2014 WL 7564668 (S.D. Fla. Dec. 8, 2014)
  • Computerized Thermal Imaging, Inc. v. Bloomberg, L.P.,
    • 312 F.3d 1292 (10th Cir. 2002)
  • Eagletech Communications, Inc. v. Bryn Mawr Inv. Group, Inc.,
    • 79 So.3d 855, Blue Sky L. Rep. ¶ 74,967 (Fla. 4th DCA Feb. 1, 2012)
  • Freeman v. JPMorgan Chase Bank N.A.,
    • 675 F. App’x 926 (11th Cir. 2017)
  • Freeman v. JP Morgan Chase Bank, N.A.,
  • 137 F. Supp. 3d 1284 (M.D. Fla. 2015), rev’d and remanded, 675 F. App’x 926 (11th Cir. 2017)
  • Freeman v. JPMorgan Chase Bank, N.A.,
    • No. 6:14-CV-121-ORL, 2015 WL 3540364 (M.D. Fla. May 12, 2015)
  • Freeman v. Sharpe Resources Corp.,
    • No. 6:12-CV-1584-ORL-22, 2013 WL 2151723 (M.D. Fla. May 16, 2013)
  • Freeman v. Sharpe Resources Corp.,
    • No. 6:12-CV-1584-ORL-22, 2013 WL 686986 (M.D. Fla. Feb. 26, 2013)
  • Freeman v. Sharpe Resources Corp.,
    • No. 6:12-CV-1584-ORL-22, 2013 WL 686935 (M.D. Fla. Feb. 07, 2013)
  • Furstace v. Migdall,
    • 161 So.3d 559, 2014 WL 5392965, 39 Fla. L. Weekly D2225
    • (Fla. 5th DCA Oct. 24, 2014)
  • In re Martin,
    • 490 F.3d 1272 (11th Cir. 2007)
  • Pafumi v. Davidson,
    • No. 05-61679-CIV, 2008 WL 4084418 (S.D. Fla. Sept. 3, 2008)
  • Pahiakos v. Martin,
    • 957 So. 2d 74 (Fla. 4th DCA 2007)
  • Periera v. Florida Power & Light Company,
    • 680 So. 2d 617 (Fla. 4th DCA 1996)
  • Press v. Raether,
    • 227 F. Supp. 2d 1022 (E.D. Wis. 2002)
  • SEC v. Big Apple Consulting USA, Inc.,
    • 783 F.3d 786 (11th Cir. 2015)
  • SEC v. Big Apple Consulting USA, Inc.,
    • No. 6:09-CV-1963-ORL-28, 2012 WL 3264512 (M.D. Fla. Aug. 9, 2012),
    • aff’d, 783 F.3d 786 (11th Cir. 2015)  
  • SEC v. Big Apple Consulting USA, Inc.,
    • No. 6:09-CV-1963-ORL-28, 2011 WL 4025386 (M.D. Fla. Sept. 9, 2011)
  • SEC v. Big Apple Consulting USA, Inc.,
    • No. 6:09-CV-1963-ORL-28, 2011 WL 3878539 (M.D. Fla. Sept. 2, 2011)
  • SEC v. Big Apple Consulting USA, Inc.,
    •  No. 6:09-CV-1963-ORL-28, 2011 WL 3759916 (M.D. Fla. Aug. 25, 2011),
    • aff’d, 783 F.3d 786 (11th Cir. 2015)
  • SEC v. Big Apple Consulting USA, Inc.,
    •  No. 6:09-CV-1963-ORL-28, 2011 WL 3753581 (M.D. Fla. Aug. 25, 2011),
    • aff’d, 783 F.3d 786 (11th Cir. 2015)
  • SEC  v. Bradt,
    • Fed. Sec. L. Rep. (CCH) ¶ 98,624 (S.D. Fla. Mar. 7, 1995)
  • SEC  v. Chapnick,
    • Fed. Sec. L. Rep. (CCH) ¶ 98,076 (S.D. Fla. Feb. 11, 1994)
  • SEC  v. Lauer,
    • 240 F. App’x 355 (11th Cir. 2007)
  • SEC  v. Lauer,
    • 445 F. Supp. 2d 1362 (S.D. Fla. 2006)
  • SEC  v. Lauer,
    • No. 03-80612-CIV, 2006 WL 2462629 (S.D. Fla. Aug. 17, 2006)
  • SEC  v. Lauer,
    • No. 03-80612-CIV, 2006 WL 2660752 (S.D. Fla. Aug. 2, 2006)
  • SEC  v. Universal Express, Inc.,
    • No. 04 CIV 2322, 2009 WL 1835915 (S.D.N.Y. June 25, 2009)
  • SEC  v. Universal Express, Inc.,
    • No. 04 CIV 2322, 2008 WL 1944803 (S.D.N.Y. Apr. 30, 2008)
  • SEC v. Video Without Boundaries, Inc.,
    • No. 08-61517-CV, 2010 WL 5790684 (S.D. Fla. Dec. 8, 2010)
  • SEC  v. Yun,
    • 327 F.3d 1263 (11th Cir. 2003)
  • SEC  v. Yun,
    • 208 F. Supp.2d 1279 (M.D. Fla. 2002)
  • SEC  v. Yun,
    • 148 F. Supp.2d 1287 (M.D. Fla. 2001)
  • SEC  v. Yun,
    • 130 F. Supp.2d 1348 (M.D. Fla. 2001), rev’d, 327 F.3d 1263 (11th Cir. 2003)
  • In re Sunstar Securities Healthcare Litigation,
    • 173 F. Supp. 2d 1315 (M.D. Fla. 2001)
  • Trafalgar Capital Specialized Inv. Fund, FIS v. Vortex Res. Corp.,
    • No. 09-60980-CIV, 2017 WL 6026019 (S.D. Fla. Apr. 9, 2017)
  • Travel Access, Inc. v. System One Direct Access, Inc.,
    • 696 So. 2d 397 (Fla. 3d DCA 1997)
  • Vincelli v. National Home Health Care Corp.,
    • 112 F. Supp. 2d 1309 (M.D. Fla. 2000)
  • Viridis Corp. v. TCA Global Credit Master Fund, LP,
    • No. 17-11237, 2018 WL 272009 (11th Cir. Jan. 3, 2018)
  • Viridis Corp. v. TCA Global Credit Master Fund, LP,
    • 155 F. Supp. 3d 1344 (S.D. Fla. 2015)
  • Wells Fargo Bank, N.A. v. Williams,
    • No. 616CV1877ORL31GJK, 2017 WL 7311850 (M.D. Fla. June 6, 2017)
  • Williamson v. State,
    • 681 So. 2d 688 (Fla. 1996)

Professional Associations and Memberships:

  • The Academy of Florida Trial Lawyers, Past Member
  • The Association of Trial Lawyers of America, Past Member
  • The American Bar Association
  • The Federal Bar Association
  • The Broward County Bar Association, Past Member
  • The South Palm Beach County Bar Association
  • The Palm Beach County Bar Association, Past Member
  • The New York Bar Association
  • Craig S. Barnard American Inn of Court LIV, Past Member

Certifications:

  • Mr. Schoeppl is a Florida Supreme Court Certified Circuit Civil Mediator.

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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