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Securities Fraud Blog

Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties

FINRA fined and suspended Stephen "Steve" Samuel Salm of Securities America's Solana Beach, California branch for disclosing personal information about customers to a nonaffiliated third ...
Continue reading "Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties" »

LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees

The SEC charged former LPL Financial brokers Jonathan Dax Cooke, Danny Scott Hood, Christopher S Laws, and Brandon Preston Long with fraudulently enticing federal employees to roll over holdings from ...
Continue reading "LPL's Cooke, Hood, Laws & Long Charged in Variable Annuity Fraud Scheme Targeting Federal Employees" »

Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker

FINRA barred former Lincoln Financial Advisors Corporation and Accelerated Capital Group (Irvine, CA) broker Jason Michael Belajack for creating fictitious letters on firm letterhead to cover up the ...
Continue reading "Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker" »

FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer

FINRA permanently barred Kim Dee Isaacson (Morgan Stanley of Salt Lake City and Ameriprise Financial of Midvale, Utah) from the securities industry after finding that Isaacson engaged in fraudulent ...
Continue reading "FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer" »

PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale

The Pennsylvania Department of Banking and Securities fined Austin Richard Dutton Jr (doing business as Bridge Valley Financial Services, LLC) $200,000 for engaging in dishonest or unethical practices ...
Continue reading "PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale" »

FINRA Bars Timothy Ballard for Failing to Cooperate with Investigation

FINRA barred Danville, California broker Timothy David Ballard after he failed to respond to a request for information, and subsequently failed to request termination of a FINRA-imposed suspension. ...
Continue reading "FINRA Bars Timothy Ballard for Failing to Cooperate with Investigation" »

FINRA NAC Affirms OHO Bar of David Escarcega for Fraudulent Misrepresentations to Elderly Clients in Arizona, California and Washington

The National Adjudicatory Council held and affirmed a FINRA OHO Hearing Panel's 2016 decision finding that former Center Street Securities broker David Joseph Escarcega of Phoenix, Arizona ...
Continue reading "FINRA NAC Affirms OHO Bar of David Escarcega for Fraudulent Misrepresentations to Elderly Clients in Arizona, California and Washington" »

AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client

FINRA barred former AXA Advisors (Carlsbad, CA) representative Chad Daniel Hornaday for failing to provide requested information in connection with an investigation into allegations that he received ...
Continue reading "AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client" »

Irvine Broker Gregory McCloskey Sanctioned for Unauthorized Private Securities Transactions

FINRA fined and suspended Westpark Capital, Inc. broker Gregory Walter McCloskey aka Gregory Meier of Irvine, California for conducting unapproved private securities transactions while associated with ...
Continue reading "Irvine Broker Gregory McCloskey Sanctioned for Unauthorized Private Securities Transactions" »

Larry Wolfe Fined & Suspended for Unauthorized Discretionary Trading in Accounts of 39 Customers

FINRA fined and suspended Stoever, Glass & Company broker Larry Charles Wolfe aka Larry Wolfinger for improperly exercising discretion in the accounts of 39 customers while he was associated with ...
Continue reading "Larry Wolfe Fined & Suspended for Unauthorized Discretionary Trading in Accounts of 39 Customers" »

After $2.4 Million Suit Alleging Elder Abuse, FINRA Bars James Schaedler Following $200k Gift Investigation

FINRA barred former Wells Fargo Clearing (Anaheim, CA) representative James Robert Schaedler, Jr. after he failed to cooperate with an investigation into allegations that he inappropriately became the ...
Continue reading "After $2.4 Million Suit Alleging Elder Abuse, FINRA Bars James Schaedler Following $200k Gift Investigation" »

David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"

FINRA fined and suspended former Ausdal Financial Partners, Inc. broker David Glenn Gott for selling over $500,000 in private investments for an outside business activity without the firm's ...
Continue reading "David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"" »

Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation

FINRA named Robert Russel "Rusty" Tweed of Glendale, California in a complaint alleging that Tweed obtained over $1.6 million from investors through a false and misleading private placement ...
Continue reading "Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation" »

Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme

Former broker Stephen Skeffington Eubanks of Bright Trading, LLC's Las Vegas, Nevada branch received a 30-month prison sentence and $437,609 restitution order after a US District Court found him ...
Continue reading "Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme" »

Jaime Aguilar Suspended for Unauthorized Loans from Customers

FINRA fined and suspended former Morgan Stanley (San Diego, CA) broker Jaime Hazael Aguilar for borrowing money from a firm customer in contravention of firm and industry rules, and falsely stating on ...
Continue reading "Jaime Aguilar Suspended for Unauthorized Loans from Customers" »

Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate

FINRA suspended former Western International Securities (Pasadena, California) broker Murray Gerard Monroe and fined him $15,000 for failing to disclose that he had been named executor of a firm ...
Continue reading "Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate" »

Poorly Performing Mutual Funds Place Money Managers in Jeopardy

The 10 worst performing mutual funds for the past three years represent a variety of investment options that have underperformed their benchmarks, leading to situations in which investors have paid ...
Continue reading "Poorly Performing Mutual Funds Place Money Managers in Jeopardy" »

Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments

FINRA suspended ex-Morgan Stanley and current Stifel, Nicolaus & Company (both of Roseville, CA) broker Richard Simon Botkin and fined him $15,000 for engaging in unapproved private securities ...
Continue reading "Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments" »

Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy

FINRA fined and suspended former Edward Jones and Raymond James Financial Services broker Mitchell Glenn Behm of Colorado for taking a $180,000 loan from an elderly customer at the firm in order to ...
Continue reading "Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy" »

Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms

FINRA fined and suspended former Accelerated Capital Group (Irvine, CA) broker Sam Dexter Legaspi for maintaining a repository of blank forms in his office, which contained pre-filled customer ...
Continue reading "Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms" »

Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client

FINRA fined and suspended Todd Joseph Pilosi, formerly of RBC Capital Markets and LPL Financial's Fresno, CA branches for borrowing a total of $150,000 from a customer of his. AWC #2016051455601 ...
Continue reading "Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client" »

Complaint Charges Kyle Harrington, Linda Milberger with Deception, Conversion, Concealment, Selling Away

FINRA filed a complaint against former National Securities Corporation (San Diego, CA) broker Kyle Patrick Harrington and assistant Linda Milberger accusing the duo of concealing Harrington's ...
Continue reading "Complaint Charges Kyle Harrington, Linda Milberger with Deception, Conversion, Concealment, Selling Away" »

Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account

FINRA fined and suspended former Voya Financial Advisors and MetLife Securities representative Jose J Perez for directing his assistant to impersonate a customer in order to effect a transfer of ...
Continue reading "Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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