California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog

Categories

legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Blog Posts in July, 2012

Thomas Michael Buehler Fined & Suspended for Lack of Supervision

The Financial Industry Regulatory Authority (FINRA) fined and suspended registered principal Thomas Michael Buehler of Alpharetta, Georgia for failing to take reasonable steps to supervise one of his ...
Continue reading "Thomas Michael Buehler Fined & Suspended for Lack of Supervision" »

Manhattan Beach Trading Financial Services, Inc. Fined $125,000 for Poor Security Measures Contributing to Identity Theft, Fraudulent Conduct

The Financial Industry Regulatory Authority (FINRA) censured and fined Manhattan Beach Trading Financial Services, Inc. ("MB Trading") of El Segundo, California and fined the firm $125,000 ...
Continue reading "Manhattan Beach Trading Financial Services, Inc. Fined $125,000 for Poor Security Measures Contributing to Identity Theft, Fraudulent Conduct" »

Slava Volman Pleads Guilty, Sent to Prison for Securities Fraud and Conspiracy

Slava Volman of Garden City, New York pleaded guilty to securities fraud, conspiracy to commit securities fraud and conspiracy to commit money laundering, all while associated with the former firm ...
Continue reading "Slava Volman Pleads Guilty, Sent to Prison for Securities Fraud and Conspiracy" »

Harold E. Wilson Barred and Ordered to Pay 10K Restitution for Failure to Contact Customers, Cooperate with FINRA Investigation

The Financial Industry Regulatory Authority (FINRA) has barred broker Harold E. Wilson of Reseda, California, and ordered him to pay $10,000 plus interest in restitution for customers after ...
Continue reading "Harold E. Wilson Barred and Ordered to Pay 10K Restitution for Failure to Contact Customers, Cooperate with FINRA Investigation" »

Alfred Chi Chen Barred for Unauthorized Trading, Unsuitable Recommendations

The Financial Industry Regulatory Authority (FINRA) barred broker Alfred Chi Chen of Antelope, California for engaging in unauthorized transactions and making unsuitable recommendations to customers ...
Continue reading "Alfred Chi Chen Barred for Unauthorized Trading, Unsuitable Recommendations" »

Marc Duda Barred for $2.5 Million Ponzi Scheme

The Financial Industry Regulatory Authority (FINRA) has barred broker Marc Duda of Fullerton, California for intentionally perpetrating a Ponzi scheme designed to defraud investors through the use of ...
Continue reading "Marc Duda Barred for $2.5 Million Ponzi Scheme" »

Glenn Andrew Schwarzkopf Accused of Converting Nearly $250,000 of Client's Money for Personal Use

FINRA's Department of Enforcement alleged that broker Glenn Andrew Schwarzkopf engaged in severe financial misconduct to the tune of nearly one-quarter of a million dollars, nearly 60% of which he ...
Continue reading "Glenn Andrew Schwarzkopf Accused of Converting Nearly $250,000 of Client's Money for Personal Use" »

FINRA'S Office of Hearing Officers Issues Decision Barring Broker Alan Jay Davidofsky

After hearing arguments from FINRA's Department of Enforcement and broker Alan J. Davidofsky, the Office of Hearing Officers issued a decision against Davidofsky, ordering him barred from the ...
Continue reading "FINRA'S Office of Hearing Officers Issues Decision Barring Broker Alan Jay Davidofsky" »

Edward Antonio "Ted" Salazar Ordered to Pay Nearly $1.2 Million and Suspended for Failure to Conduct Due Diligence, Bypassing Firm Oversight

The Financial Industry Regulatory Authority (FINRA) suspended Edward Antonio Salazar aka Ted Salazar of Houston, Texas through May 15, 2013, and ordered him to pay a total of $1.2 million, plus ...
Continue reading "Edward Antonio "Ted" Salazar Ordered to Pay Nearly $1.2 Million and Suspended for Failure to Conduct Due Diligence, Bypassing Firm Oversight" »

Russell Philip Macke Suspended for Excessive Trading and Use of Margin

The Financial Industry Regulatory Authority (FINRA) suspended broker Russell Philip Macke for taking advantage of discretionary authority granted to him by his customers and engaging in excessive ...
Continue reading "Russell Philip Macke Suspended for Excessive Trading and Use of Margin" »

Thomas Brown Hammond Guilty of Theft, Ordered to Pay Over $500,000 in Restitution, Barred from Industry

Thomas Brown Hammond Guilty of Theft, Ordered to Pay Over $.5 Million in Restitution, Barred from Industry The Financial Industry Regulatory Authority (FINRA) has barred broker Thomas Brown Hammond in ...
Continue reading "Thomas Brown Hammond Guilty of Theft, Ordered to Pay Over $500,000 in Restitution, Barred from Industry" »

Brett David Henderson Fined $95,000 and Suspended for Unsuitable VA Switch Transactions

The Financial Industry Regulatory Authority (FINRA) suspended broker Brett David Henderson and fined him $95,000 for engaging in unsuitable variable annuity (VA) switch transactions without ...
Continue reading "Brett David Henderson Fined $95,000 and Suspended for Unsuitable VA Switch Transactions" »

Real Estate Broker Tony Thompson Suspends Interest Payments to Investors

Broker-dealer Tony Thompson of Thompson National Properties LLC (TNP) temporarily suspended private placement interest payments, leaving hundreds of investors out in the cold until at least 2013. The ...
Continue reading "Real Estate Broker Tony Thompson Suspends Interest Payments to Investors" »

FINRA Issues Investor Alert on Exchange Traded Notes

Exchange-traded notes (ETNs) are popular debt securities whose return is linked to a market index or other financial instrument(s). Though ETNs are popular due to their convenience and apparent ...
Continue reading "FINRA Issues Investor Alert on Exchange Traded Notes" »

Gary Lee Cousino Barred for Refusing to Cooperate with FINRA Investigation

The Financial Industry Regulatory Authority (FINRA) barred broker Gary Lee Cousino for declining to respond in any matter to a FINRA investigation into two lawsuits and an arbitration action filed ...
Continue reading "Gary Lee Cousino Barred for Refusing to Cooperate with FINRA Investigation" »

Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales

The Financial Industry Regulatory Authority (FINRA) suspended broker Catheryne June Downs for six months and fined her $10,000 for failing to provide her firm with prompt written notice of ...
Continue reading "Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales" »

Joel William Carlson Barred for Fraudulent Investment Scheme

The Financial Industry Regulatory Authority (FINRA) barred broker Joel William Carlson for fraudulent conduct, including misrepresentation to customers, intentionally scheming to defraud investors, ...
Continue reading "Joel William Carlson Barred for Fraudulent Investment Scheme" »
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: