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  6. Barry Steven Mittelberg
Barry Steven Mittelberg
Barry Steven Mittelberg
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Bar #396567(FL)     License for 40 years; Member in Good Standing
Coral Springs FL

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19-10446  Jose Odel Vera Castro  (2004)
United States Bankruptcy Court, S.D. Florida Filed: Jun. 14, 2004 Citations: 314 B.R. 244
314 B.R. 244 (2004) In re SOUTHEAST BANKING CORP., Debtor. No. 91-14561-BKC-PGH. United States Bankruptcy Court, S.D. Florida. June 14, 2004. *245 *246 Southeast Banking Corp., Miami, FL, pro se. Mark D. Bloom, Miami, FL, Arley D. Finley III, Austin, TX, for Jeffrey H. Beck, trustee. ORDER DENYING OBJECTORS' MOTION TO STRIKE PORTIONS OF MEDIATION STATEMENTS AND TO EXCLUDE EVIDENCE AT JUNE 16TH HEARING BASED ON DOCTRINES OF LAW OF THE CASE AND COLLATERAL ESTOPPEL PAUL G. HYMAN, JR., Bankruptcy Jud..
02-002668  DEPARTMENT OF FINANCIAL SERVICES vs DAVID H. KLIGFELD; DHALCO FINANCIAL SERVICES, INC.; DAVID KLIGFLED; AND RHONDA WRIGHT  (2002)
Division of Administrative Hearings, Florida Filed: Jul. 03, 2002
This issue in this case is whether Petitioner has jurisdiction to prosecute a viatical settlement sales agent for conduct relating to transactions involving viatical settlement purchase agreements, which Petitioner contends were “investment contracts”——and hence securities——subject to regulation under the Florida Securities and Investor Protection Act.Viatical Settlement Act comprehensively and exclusively governs viatical settlement purchase agreements; Petitioner does not have jurisdiction to prosecute/punish a viatical sales agent for conduct relating to viatical settlement purchase agreements.
02-003582  DEPARTMENT OF FINANCIAL SERVICES, OFFICE OF FINANCIAL INSTITUTIONS AND SECURITIES REGULATION vs JAMES A. TORCHIA  (2002)
Division of Administrative Hearings, Florida Filed: Sep. 13, 2002
The issues are whether Respondents offered and sold securities in Florida, in violation of the registration requirements of Section 517.07(1), Florida Statutes; offered and sold securities in Florida while Respondents were unregistered, in violation of Section 517.12(1), Florida Statutes; or committed fraud in the offer, sale, or purchase of securities in Florida, in violation of Section 517.301(1)(a), Florida Statutes. If so, an additional issue is the penalty to be imposed.Insurance agent selling viatical settlement agreements is selling securities and is an unregistered dealer or assoc. person. Subject trust interests are securities that are not exempt, and Viatical Settlement Act does not supercede Chapter 517.
02-003583  DEPARTMENT OF FINANCIAL SERVICES, OFFICE OF FINANCIAL INSTITUTIONS AND SECURITIES REGULATION vs EMPIRE INSURANCE AND JAMES A. TORCHIA  (2002)
Division of Administrative Hearings, Florida Filed: Sep. 13, 2002
The issues are whether Respondents offered and sold securities in Florida, in violation of the registration requirements of Section 517.07(1), Florida Statutes; offered and sold securities in Florida while Respondents were unregistered, in violation of Section 517.12(1), Florida Statutes; or committed fraud in the offer, sale, or purchase of securities in Florida, in violation of Section 517.301(1)(a), Florida Statutes. If so, an additional issue is the penalty to be imposed.Insurance agent selling viatical settlement agreements is selling securities and is an unregistered dealer or assoc. person. Subject trust interests are securities that are not exempt, and Viatical Settlement Act does not supercede Chapter 517.

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