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
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.

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 instruments without being registered.

FINRA Case #2010022715608

According to FINRA'S findings, Branyan joined the Longview Financial Group firm in December 2008 and passed the General Securities Representative examination one year later, in December of 2009. From 2009 through 2011, Branyan was properly licensed with FINRA.

During her first year of association with Longview—between 2008 and December 2, 2009—Branyan held no certification, license nor authorization to sell securities to investors.

Nonetheless, the findings allege that between December 19, 2008 and December 2, 2009, Branyan sold or participated in the sales of approximately $1 million of private placement securities, a violation of several industry rules and regulations.

Because Branyan did not respond to nor acknowledge FINRA's complaint, the Authority's Department of Enforcement entered into a default decision, suspending Branyan 20 business days and fining her $7,500.

If you have purchased private placement securities from Longview Financial Group or Tsaina Lau Branyan and believe that improper recommendations or an unwise investment may have been made as a result of an unlicensed sale, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories: Discipline
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: