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Blog Posts in August, 2012

Richard Peter Pascucci Convicted of Fraud, Barred and Ordered to Pay Restitution

The Financial Industry Regulatory Authority Office of Hearing Officers (FINRA OHO) issued a default decision barring broker Richard Peter Pascucci and ordered he pay $261,000 in restitution to ...
Continue reading "Richard Peter Pascucci Convicted of Fraud, Barred and Ordered to Pay Restitution" »

FINRA Bars Broker Andrew Paul Arno for Misusing Customer IRA Funds

The Financial Industry Regulatory Authority' Office of Hearing Officers order broker Andrew Paul Arno of West Melbourne, Florida barred from the securities industry for misuse of customer funds by ...
Continue reading "FINRA Bars Broker Andrew Paul Arno for Misusing Customer IRA Funds" »

Investor Alert Issued: Non-Traded Real Estate Investment Trusts (REITs)

The Financial Industry Regulatory Authority (FINRA) reissued an alert regarding publicly registered, non-exchange traded real estate investment trusts (REITs). REIT investments are instruments that ...
Continue reading "Investor Alert Issued: Non-Traded Real Estate Investment Trusts (REITs)" »

FINRA Suspends James A. Owen and Orders Restitution to his Customers

The Financial Industry Regulatory Authority (FINRA) suspended broker James A. Owen of Easton, Pennsylvania and ordered him to pay a total of nearly $330,000 in restitution and fines after finding ...
Continue reading "FINRA Suspends James A. Owen and Orders Restitution to his Customers" »

FINRA Fines & Suspends Craig Lamont Miller for Improper Recommendations Outside of Firm

The Financial Industry Regulatory Authority (FINRA) suspended broker Craig Lamont Miller of Austin, Texas and fined him $5,000 for engaging in an recommending and selling a security outside of the ...
Continue reading "FINRA Fines & Suspends Craig Lamont Miller for Improper Recommendations Outside of Firm" »

FINRA Bars Edward Allen Mantanona and Orders Restitution

The Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers (OHO) order broker Edward Allen Mantanona of Salado, Texas barred from the securities industry and ordered him to pay ...
Continue reading "FINRA Bars Edward Allen Mantanona and Orders Restitution" »

FINRA Fines & Suspends and Fines Rochelle Anne Leininger for Improperly Notarizing Documents

The Financial Industry Regulatory Authority (FINRA) suspended broker and notary public Rochelle Anne Leininger of Danville, California for 90 days, and fined her $5,000 for unknowingly notarizing ...
Continue reading "FINRA Fines & Suspends and Fines Rochelle Anne Leininger for Improperly Notarizing Documents" »

FINRA Fines & Suspends Broker Michael Laurence Digaetano for Failure to Supervise

The Financial Industry Regulatory Authority (FINRA) suspended broker-dealer Michael Laurence Digaetano of West Lake Village, California, and fined him $5,000 for allegedly failing to reasonably ...
Continue reading "FINRA Fines & Suspends Broker Michael Laurence Digaetano for Failure to Supervise" »

Douglas Brent Cartwright Fined & Suspended for Soliciting Investments Outside the Scope of His Employing Firm

The Financial Industry Regulatory Authority (FINRA) suspended broker supervisor Douglas Brent Cartwright and fined him $5,000 for selling a promissory note to an investor outside the scope of his ...
Continue reading "Douglas Brent Cartwright Fined & Suspended for Soliciting Investments Outside the Scope of His Employing Firm" »

James W. Carney, Jr. Fined & Suspended for Undisclosed Outside Business Activities

The Financial Industry Regulatory Authority (FINRA) suspended broker James W. Carney and fined him $5,000 for failing to disclose outside business activities to his employing firm, RBC Capital ...
Continue reading "James W. Carney, Jr. Fined & Suspended for Undisclosed Outside Business Activities" »

Christipher Lynn Belonge Fined Over $50,000 & Suspended for Inadequate Supervision Resulting in Significant Investment Losses

The Financial Industry Regulatory Authority (FINRA) fined registered principal Christipher Lynn Belonge $54,819 and suspended Belonge until September 6, 2012 for failure to supervise representatives ...
Continue reading "Christipher Lynn Belonge Fined Over $50,000 & Suspended for Inadequate Supervision Resulting in Significant Investment Losses" »

FINRA Orders Supension of Edward Wedbush and Fines Wedbush Securities, Inc. $300,000

In a 48 page decision dated August 2, 2012, the FINRA Office of Hearing Officers ordered the suspension of Edward Wedbush for 31 days from all supervisory activities, other than the supervision of ...
Continue reading "FINRA Orders Supension of Edward Wedbush and Fines Wedbush Securities, Inc. $300,000" »

Erin Christine Ackerman Fined $20,000 and Suspended Until December 2013 for Poor Supervision, Resulting in Unsuitable Recommendations and Significant Customer Losses

The Financial Industry Regulatory Authority (FINRA) fined former CM Securities, LLC Chief Compliance Officer Erin Christine Ackerman of Henderson, Nevada $20,000 and suspended her through December 17, ...
Continue reading "Erin Christine Ackerman Fined $20,000 and Suspended Until December 2013 for Poor Supervision, Resulting in Unsuitable Recommendations and Significant Customer Losses" »
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