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Blog Posts in December, 2012

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" »
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