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Blog Posts in 2012

102 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   Next

Take Charge Financial, Inc., Joan Anne Perry Expelled & Barred for Unauthorized Transfers, Failure to Report Complaints, Inappropriate Borrowing of Customer Funds

The Financial Industry Regulatory Authority has expelled Take Charge Financial, Inc. of Los Gatos, California and barred principal Joan Anne Perry of San Jose for transferring $90,781.06 from customer ...
Continue reading "Take Charge Financial, Inc., Joan Anne Perry Expelled & Barred for Unauthorized Transfers, Failure to Report Complaints, Inappropriate Borrowing of Customer Funds" »

Michael D. Montgomery Sentenced to 5 Years in Prison Following Wire Fraud Conviction

Following his June guilty plea in connection with charges of wire fraud and filing a false tax return, as reported in this June blog post, former Wachovia Securities Financial Network, LLC, and Mutual ...
Continue reading "Michael D. Montgomery Sentenced to 5 Years in Prison Following Wire Fraud Conviction" »

Paul Ellsworth McIntosh Barred for Unauthorized Trading Resulting in $40,000 in Customer Losses

The Financial Industry Regulatory Authority barred broker Paul Ellsworth McIntosh for unauthorized trading activity and conversion of customers' funds. The FINRA Office of Hearing Officers issued ...
Continue reading "Paul Ellsworth McIntosh Barred for Unauthorized Trading Resulting in $40,000 in Customer Losses" »

Matthew Donald Newman Fined & Suspended in Connection with Altered Form Submissions

The Financial Industry Regulatory Authority fined and suspended Matthew Donald Newman, formerly of Morgan Stanley Smith Barney in Santa Ana, California, for failing to timely respond to FINRA's ...
Continue reading "Matthew Donald Newman Fined & Suspended in Connection with Altered Form Submissions" »

Daniel Leland Chiddister Fined & Suspended for Impersonating Potential Customers

The Financial Industry Regulatory Authority suspended stockbroker Daniel Leland Chiddister and fined him $10,000 for allegedly impersonating a prospective customer after meeting with the customer to ...
Continue reading "Daniel Leland Chiddister Fined & Suspended for Impersonating Potential Customers" »

Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices

The Financial Industry Regulatory Authority censured and fined broker-dealer Financial West Investment Group, Inc., of Westlake Village, California, for failure to conduct reasonable diligence in ...
Continue reading "Financial West Investment Group Censured & Fined for Inadequate Diligence, Failure to Execute Bond Transactions at Reasonable Prices" »

Aletheia CEO Peter J. Eichler Jr. Accused of Defrauding Investors, Resulting in $4.4 Million in Losses

On December 14, 2012, the Securities and Exchange Commission filed a Complaint in US District Court, accusing Santa Monica-based Aletheia Research and Management Inc. and its CEO and one-time Bear ...
Continue reading "Aletheia CEO Peter J. Eichler Jr. Accused of Defrauding Investors, Resulting in $4.4 Million in Losses" »

Frank Anthony Quartararo for Over Unauthorized Withdrawals from Customer Accounts Totaling Over $775,000

The Financial Industry Regulatory Authority has barred former Wells Fargo Advisors, LLC stockbrokerFrank Anthony Quartararo, Jr. of Sandy Springs, Georgia for allegedly effecting a series of ...
Continue reading "Frank Anthony Quartararo for Over Unauthorized Withdrawals from Customer Accounts Totaling Over $775,000" »

Astrid Sylvia Reinis Suspended and Fined for Failure to Disclose Unauthorized Loan from Customer

The Financial Industry Regulatory Authority suspended and fined broker Astrid Sylvia Reinis of Anaheim, California for borrowing $10,000 from a customer in violation of her then-employing ...
Continue reading "Astrid Sylvia Reinis Suspended and Fined for Failure to Disclose Unauthorized Loan from Customer" »

Massachusetts Securities Regulators Sue LPL Financial over Nontraded REIT Sales

The Massachusetts Securities Division filed a complaint against LPL Financial, LLC, accusing the firm of inadequate training, improper sales practices, including sales made in violation and in excess ...
Continue reading "Massachusetts Securities Regulators Sue LPL Financial over Nontraded REIT Sales" »

Wedbush Securities Fined $375,000; Richard Anthony Lanni and Ronald Edward Vogel Fined and Suspended for Poor Supervisory Systems Related to Variable Annuities

The Financial Industry Regulatory Authority censured Wedbush Securities, Inc. of Los Angeles, California, fining the firm $375,000 for what FINRA deemed was a failure to supervise employees and ...
Continue reading "Wedbush Securities Fined $375,000; Richard Anthony Lanni and Ronald Edward Vogel Fined and Suspended for Poor Supervisory Systems Related to Variable Annuities" »

Teresa Jo Dorenkamp Barred for Forging Signatures, Converting & Transferring Over $390,000 of Customer Funds

The Financial Industry Regulatory Authority barred broker Teresa Jo Dorenkamp. In a settlement in which Dorenkamp consented to the findings, without admitting or denying the allegations, that while ...
Continue reading "Teresa Jo Dorenkamp Barred for Forging Signatures, Converting & Transferring Over $390,000 of Customer Funds" »

Investors Beware: "Free Lunch" Investment Seminars Are Not Always What They Seem

FINRA has distributed an investor alert under their frauds and scams banner, warning investors of so-called "Free Lunch" investment seminars in which potential investment clients are invited ...
Continue reading "Investors Beware: "Free Lunch" Investment Seminars Are Not Always What They Seem" »

Christina Marie Curley Barred Following Allegations She Manipulated Compensation, Transacted in Closed Accounts

The Financial Industry Regulatory Authority Office of Hearing Officers barred broker Christina Marie Curley in a default decision following her failure to respond to requests for information, appear ...
Continue reading "Christina Marie Curley Barred Following Allegations She Manipulated Compensation, Transacted in Closed Accounts" »

David Lerner Associates to Pay $12 Million in Restitution in Connection with Inadequate Due Diligence, Excessive Markups

The Financial Industry Regulatory Authority and David Lerner Associates brokerage firm of Syosset, New York reached a settlement, the terms of which specify that the firm will pay $12 million in ...
Continue reading "David Lerner Associates to Pay $12 Million in Restitution in Connection with Inadequate Due Diligence, Excessive Markups" »

SEC Charges Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry with Defrauding Investors by Creating Fake Company, Identity

The Securities and Exchange Commission charged Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry for allegedly making false and misleading statements to investors in connection with a $5.77 ...
Continue reading "SEC Charges Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry with Defrauding Investors by Creating Fake Company, Identity" »

Hojin Kyung Barred After Depositing Customer Checks into Personal Trust Account

The Financial Industry Regulatory Authority has barred Hojin Kyung of San Diego, California for the alleged misappropriation of customer funds while Kyung was associated with Farmers Financial ...
Continue reading "Hojin Kyung Barred After Depositing Customer Checks into Personal Trust Account" »

Edgar Lee Giovannetti Fined & Suspended for Unauthorized Transaction, Failure to Disclose Lawsuit and Settlement

The Financial Industry Regulatory Authority suspended broker Edgar Lee Giovannetti of Memphis, Tennessee, fining him $15,000 for borrowing funds from a customer without first obtaining approval from ...
Continue reading "Edgar Lee Giovannetti Fined & Suspended for Unauthorized Transaction, Failure to Disclose Lawsuit and Settlement" »

William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation

The Financial Industry Regulatory Authority suspended William Michael Jordan of Laguna Hills, California and formerly of Securities Equity Group (SEG), fining him $21,300, including disgorgement of ...
Continue reading "William Michael Jordan Fined and Suspended for Improper Recommendations and Lack of Due Diligence Related to Third Party's Slush Fund Operation" »

John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures

The Financial Industry Regulatory Authority barred broker John Charles Guys of Fairfield, Connecticut for the alleged misappropriation of $123,000 by fabricating documents and forging customer ...
Continue reading "John Charles Guys Barred for Misappropriation of Funds, Creating Fake Premium Finance Agreements and Forging Customer Signatures" »

Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval

The Financial Industry Regulatory Authority has suspended Stuart L. Funke through October 15, 2013 for soliciting $500,000-worth of loans in exchange for a promissory note, failing to notify his ...
Continue reading "Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval" »

Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales

The Financial Industry Regulatory Authority has fined Fidelity Brokerage Services, LLC and Fidelity Investments Institutional Services Company, Inc. $375,000 for providing misleading sales and ...
Continue reading "Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales" »

Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds

The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Workman Securities Corp. general securities representative Attila Gyula Toth for allegedly soliciting and misusing ...
Continue reading "Attila Gyula Toth Accused of Soliciting an Investment and Misusing Customer Funds" »

Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale

The Financial Industry Regulatory Authority suspended Ralph Thomas Gannett, most recently of Independent Financial Group, LLC, for effecting inappropriate sales of a private placement offering to ...
Continue reading "Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale" »

United Planners & CCO Douglas Hall Fined for Lack of Supervision with respect to Variable Annuities

The Financial Industry Regulatory Authority censured and fined United Planners Financial Services of America, headquartered in Scottsdale, Arizona, $200,000 and its Chief Compliance Officer Douglas ...
Continue reading "United Planners & CCO Douglas Hall Fined for Lack of Supervision with respect to Variable Annuities" »
102 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   Next
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