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Blog Posts in May, 2012

Rafael Ramon Sanchez Barred for Fraudulent Misconduct

The Financial Industry Regulatory Authority (FINRA) barred California registered general securities representative Rafael Ramon Sanchez from association with any member firm after Sanchez was found to ...
Continue reading "Rafael Ramon Sanchez Barred for Fraudulent Misconduct" »

Timothy David Cochrane Permanently Barred for Fraudulent Investment Scheme

The Financial Industry Regulatory Authority (FINRA) permanently barred California registered principal Timothy David Cochrane from association with any member firm after Cochrane was found to have ...
Continue reading "Timothy David Cochrane Permanently Barred for Fraudulent Investment Scheme" »

Charles Oscar Boneck, Jr. Barred by FINRA for Unauthorized Transactions

The Financial Industry Regulatory Authority (FINRA) has barred California registered representative Charles Oscar Boneck, Jr. from association with any member firm after Boneck engaged in multiple ...
Continue reading "Charles Oscar Boneck, Jr. Barred by FINRA for Unauthorized Transactions" »

Discipline: Midas Securities & Registered Principal Jay S. Lee Disciplined for Unlawful, Irresponsible Conduct

Midas Securities & Registered Principal Jay S. Lee Disciplined for Unlawful, Irresponsible Conduct The Financial Industry Regulatory Authority (FINRA) fined the firm Midas Securities, LLC $80,000 ...
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Arbitration: Wells Fargo Ordered to Buy Back $2.2 Million in Auction Rate Securities

A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Wells Fargo Institutional Securities LLC to repurchase $2.2 million in auction rate securities from two investors and a ...
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Arbitration: JPMorgan Chase & Co. Ordered to Pay Client $1.9 Million, Only a Fraction of $26.7 Million Claimed in Damages

A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered JPMorgan Securities LLC of J.P. Morgan Chase & Co. to pay a client $1.9 million in compensatory damages as a result of ...
Continue reading "Arbitration: JPMorgan Chase & Co. Ordered to Pay Client $1.9 Million, Only a Fraction of $26.7 Million Claimed in Damages" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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