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 June, 2012

Investing on Margin Carries Additional Risks and May Result in Unintended Consequences

Succinctly, margin is a deposited sum that serves as security for an account or transaction. It is collateral that covers credit risk which arises from borrowed funds, financial instruments sold short ...
Continue reading "Investing on Margin Carries Additional Risks and May Result in Unintended Consequences" »

Tsarina Lau Branyan Fined & Suspended for Unlicensed Sales of Securities

The Financial Industry Regulatory Authority (FINRA) fined and suspended Tsarina Lau Branyan of Huntington Beach, California, for selling or participating in sales of securities and investment ...
Continue reading "Tsarina Lau Branyan Fined & Suspended for Unlicensed Sales of Securities" »

Michael D. Montgomery Pleads Guilty to Wire Fraud, Client's Loss Over $1 Million

Former stockbroker Michael D. Montgomery pleaded guilty on June 22 to charges of wire fraud and filing a false tax return. The charges were brought at the U.S. District Court in Tacoma, Washington, ...
Continue reading "Michael D. Montgomery Pleads Guilty to Wire Fraud, Client's Loss Over $1 Million" »

With New 401(k) Disclosure Requirement, Investors Should Review 401(k) Plan to Determine Fees Charged

In 2007, CNN reported the hidden danger in undisclosed 401(k) fees, a potential forfeiture of $85,000 for an employee who expects an 8 percent return over 25 years with a contribution of $150 per pay ...
Continue reading "With New 401(k) Disclosure Requirement, Investors Should Review 401(k) Plan to Determine Fees Charged" »

All About BrokerCheck, FINRA's Free Background Check for Your Financial Advisor

When the Financial Industry Regulator Authority (FINRA) launched its proprietary database, BrokerCheck, it established both a toll-free hotline and a free internet service for investors to run ...
Continue reading "All About BrokerCheck, FINRA's Free Background Check for Your Financial Advisor" »

UVEST Financial Fined, Forced to Pay Remediation After Overcharging Customer

The Financial Industry and Regulatory Authority (FINRA) has fined UVEST Financial Services Group, Inc. $230,000 and ordered the firm to provide remediation to customers after overcharging investors a ...
Continue reading "UVEST Financial Fined, Forced to Pay Remediation After Overcharging Customer" »

Freedom Investors Corp. Fined & Brokers Suspended for Unsuitable Penny Stock Recommendations

The Financial Industry and Regulatory Authority (FINRA) fined Freedom Investors Corp. $30,000, censuring the firm for improper policies and systems that resulted in penny stock recommendations that ...
Continue reading "Freedom Investors Corp. Fined & Brokers Suspended for Unsuitable Penny Stock Recommendations" »

Merrill Lynch Fined $2.8 Million for Overcharging Customers $32 Million in Fees

The Financial Industry and Regulatory Authority (FINRA) fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8 million for overcharging customers by $32 million in excessive fees related to the ...
Continue reading "Merrill Lynch Fined $2.8 Million for Overcharging Customers $32 Million in Fees" »

John Brady Guyette Suspended & Fined for Fraudulent Misrepresentations in Recommending Investment Options

The Financial Industry and Regulatory Authority (FINRA) has fined registered principal John Brady Guyette of former FINRA member firm Community Bankers Securities, LLC, $86,140 and suspended him one ...
Continue reading "John Brady Guyette Suspended & Fined for Fraudulent Misrepresentations in Recommending Investment Options" »

Daniel Edward Becerril II Barred from Securities Industry After Orchestrating Fraudulent Scheme

The Financial Industry Regulatory Authority (FINRA) barred Representative Daniel Edward Becerril II of Huntington Beach, California and formerly of Veritrust Financial, LLC, for forgery, money ...
Continue reading "Daniel Edward Becerril II Barred from Securities Industry After Orchestrating Fraudulent Scheme" »

Michael Douglas Venable Barred for Multiple Violations Related to Sales of ETFs

When the Financial Industry Regulatory Authority (FINRA) announced its intention to bring cases against brokers and their firms who have sold customers unsuitable leveraged and inverse exchange-traded ...
Continue reading "Michael Douglas Venable Barred for Multiple Violations Related to Sales of ETFs" »

Ivan Serge Obolensky, Jr. Barred for Failure to Answer FINRA Inquiry Regarding Unsuitable Investments

The Financial Industry Regulatory Authority (FINRA) Ivan S. Obolensky, Jr. of Glendale, California, for refusing to cooperate with FINRA's investigation into a customer's claim that Obolensky, ...
Continue reading "Ivan Serge Obolensky, Jr. Barred for Failure to Answer FINRA Inquiry Regarding Unsuitable Investments" »

Merrill Lynch Fined $450,000 for Poor Supervisory System Related to Structured Products

The Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $450,000 for failure to maintain a satisfactory supervisory system over the sale of ...
Continue reading "Merrill Lynch Fined $450,000 for Poor Supervisory System Related to Structured Products" »

John Farahi of NewPoint Financial Pleads Guilty to $20+ Million Ponzi Scheme

John Farahi of Beverly Hills, Califonia pled guilty to multiple felony counts including mail fraud, loan fraud, selling unregistered securities and conspiracy to obstruct justice in connection with an ...
Continue reading "John Farahi of NewPoint Financial Pleads Guilty to $20+ Million Ponzi Scheme" »

Russell Kent Childs Suspended and Ordered to Pay Restitution for Improper Charges

The Financial Industry Regulatory Authority (FINRA) fined, suspended and ordered registered principal Russell Kent Childs to pay over $400,000 in restitution to customers who experienced financial ...
Continue reading "Russell Kent Childs Suspended and Ordered to Pay Restitution for Improper Charges" »

Brookstone Securities Fined $1 Million, CEO Antony Turbeville Barred for Fraudulent Sales of CMOs to Elderly Clients

The Financial Industry Regulatory Authority (FINRA) fined Brookstone Securities and barred the firm's Owner & CEO Antony Turbeville from the industry for fraudulent sales of collateralized ...
Continue reading "Brookstone Securities Fined $1 Million, CEO Antony Turbeville Barred for Fraudulent Sales of CMOs to Elderly Clients" »

Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis

The Securities and Exchange Commission (SEC)charged investment management company OppenheimerFunds, Inc. for grossly misleading investors in regards to the policies and practices of two of its funds, ...
Continue reading "Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis" »

Yong "Michael" Chen Fined, Suspended for Failure to Report Outside Business Activities

The Financial Industry Regulatory Authority (FINRA) has fined and suspended registered representative Yong "Michael" Chen of Sunnyvale, California, for failure to disclose to his employer of ...
Continue reading "Yong "Michael" Chen Fined, Suspended for Failure to Report Outside Business Activities" »

Stifel, Nicolaus & Company Fined, Ordered to Pay Restitution Totaling $600,000

Financial Industry Regulatory Authority (FINRA) member firm Stifel, Nicolaus & Company, Incorporated has been fined $350,000 and ordered to pay $250,000 in restitution to customers for failing to ...
Continue reading "Stifel, Nicolaus & Company Fined, Ordered to Pay Restitution Totaling $600,000" »
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: