Regulatory Defense

The Regulatory Defense Practice Group at Schoeppl Law, P.A. is led by Carl F. Schoeppl, 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.).  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.  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 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 has substantial litigation experience at both the trial and appellate levels in regulatory defense matters spanning over the course of three different decades.      

Schoeppl Law, P.A. has represented broker-dealers, registered representatives, investment advisers, investment advisory representatives, accounting firms, accountants, law firms, lawyers, officers, directors, employees, and others in a wide variety of regulatory defense matters over the past twenty years ranging from examinations, investigations, and enforcement proceedings by the SEC, investigations and enforcement proceedings by the U.S. Commodity Futures Trading Commission (“CFTC”), investigations and enforcement proceedings by the Federal Trade Commission (“FTC”), investigations and criminal prosecutions by the U.S. Department of Justice (“DOJ”), investigations by Federal Bureau of Investigation (“FBI”), federal grand jury investigations related to securities matters, examinations, investigations, and enforcement proceedings by the Financial Industry Regulatory Authority (“FINRA”), investigations by the Public Company Accounting Oversight Board (“PCAOB”), investigations and enforcement proceedings by the Florida Department of Business and Professional Regulation (“Florida DBPR”), Bureau of Accountancy against accountants arising out of SEC enforcement actions, examinations, investigations, enforcement proceedings by the Florida Office of Financial Regulation (“Florida OFR”), Division of Securities, to investigations and enforcement proceedings by The Florida Bar against attorneys arising out of SEC enforcement actions.

WHO WE REPRESENT

REGULATORY DEFENSE MATTERS WE HANDLE

SEC Registered Broker-Dealers and FINRA Member Firms

SEC Examinations and Enforcement Proceedings

Registered Representatives

FINRA Examinations and Enforcement Proceedings

SEC Registered Investment-Advisers

CFTC Enforcement Proceedings

Investment Adviser Representatives of SEC Registered Investment-Advisers

FTC Enforcement Proceedings

Florida Registered Investment-Advisers

Florida Office of Financial Regulation, Division of Securities, Bureau of Enforcement, Examinations and Enforcement Proceedings

Associated Persons of Florida Registered Investment Advisers

SRO Enforcement Proceedings

Registered Public Accounting Firms with the PCAOB

SEC Rule 102(e) Proceedings against Accountants

Persons Associated with Registered Public Accounting Firms with the PCAOB

Florida DPBR, Board of Accountancy Proceedings arising out of SEC Rule 102(e) or PCAOB Proceedings against Accountants

Accounting Firms

PCAOB Enforcement Proceedings against Accountants

Accountants

SEC Rule 102(e) Proceedings against Attorneys

Law Firms

Florida Bar Disciplinary Proceedings arising out of SEC Rule 102(e) Proceedings against Attorneys

Lawyers

DOJ/FBI Investigations related to Securities Matters

Officers

Grand Jury Investigations related to Securities Matters

Directors

White-Collar Criminal Defense related to Securities Matters

Employees

 

Consultants

 

Schoeppl Law, P.A.

Firm Logo

4651 North Federal Highway
Boca Raton, Florida 33431

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

View on Google Maps