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Blog Posts in 2013

163 results found. Viewing page 1 of 7. Go to page 1 2 3 4 5 6 7   Next

Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact

FINRA barred Milkie Ferguson Investments, Inc. broker Scott Schroeder of Los Angeles, California for making unsuitable recommendations to multiple elderly customers. Specifically, Schroeder allegedly ...
Continue reading "Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact" »

Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information

FINRA officially barred broker Bambi Iris Holzer from the securities industry this month for a series of unsuitable recommendations, gaining of supervisory approval through the use of false ...
Continue reading "Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information" »

Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions

FINRA barred former LPL Financial, Inc. broker Gary Chackman for recommending and effecting unsuitable non-traded real estate investment trust ("REIT") transactions in at least eight ...
Continue reading "Gary J. Chackman Barred for Unsuitable Non-traded REIT Transactions" »

Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program

FINRA fined Deutsche Bank Securities, Inc. $6.5 million for what it deems are "serious financial and operation deficiencies" first identified in 2009 and associated with Deutsche's ...
Continue reading "Deutsche Bank Securities Fined $6.5 Million for Serious Deficiencies in Lending Program" »

Holiday Cheer Signals Year-End Red Flags To Watch

With the end of 2013 approaching, the Digital Journal is hosting a press release reminding investors that as they review year-end investments and performances, certain red flags may appear that are ...
Continue reading "Holiday Cheer Signals Year-End Red Flags To Watch" »

Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business

When a broker sells a leveraged exchange traded fund ("ETF") to a customer, the sale is marked as either solicited or unsolicited. A solicited sale is one that is advertised or recommended ...
Continue reading "Solicited Leveraged ETF Tickets Marked as Unsolicited is Risky Business" »

Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages

After barring adviser former MAM Securities, Inc. representative and MAM Wealth Management, LLC investment adviser Rafael R. Sanchez of Sherman Oaks, California for engaging in unethical conduct ...
Continue reading "Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages" »

Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000

FINRA fined Oppenheimer & Co., Inc. $675,000 and ordered the firm to pay over $246,000, plus interest, in restitution to customers FINRA says were charged unfair prices due, in part, to the ...
Continue reading "Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000" »

JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching

FINRA ordered J.P. Turner & Company, LLC to pay $707,559 in restitution to 84 customers for unsuitable leveraged and inverse exchange-traded fund ("ETF") sales and for excessive mutual ...
Continue reading "JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching" »

Two Ex-JP Morgan Brokers Barred for $300,000 Theft from Elderly Woman with Diminished Mental Capacity

FINRA barred former JP Morgan Chase & Co. brokers, Jimmy E. Caballero and Fernando L. Arevalo, of Palmdale, California for the alleged wrongful conversion of $300,000 from an elderly widow. The ...
Continue reading "Two Ex-JP Morgan Brokers Barred for $300,000 Theft from Elderly Woman with Diminished Mental Capacity" »

Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales

The Arkansas Securities Department fined two FINRA member firms, Morgan Keegan & Co. (now merged into Raymond James) and Stephens Inc. a total of $40,000. In addition, the Arkansas Securities ...
Continue reading "Morgan Keegan, Stephens Inc. Fined, Restitution Ordered for Inappropriate Volatile Nontraditional ETF Sales" »

Paul David Arnold Barred for Misappropriating $242,000 from Elderly Customer's Brokerage Account

FINRA barred registered principal Paul David Arnold for the alleged misappropriation of $242,000 from an elderly customer's brokerage account to a bank account. Though the OHO did not order ...
Continue reading "Paul David Arnold Barred for Misappropriating $242,000 from Elderly Customer's Brokerage Account" »

Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors

The SEC charged trader Gary C. Snisky with defrauding elderly investors by soliciting investments in government-secured agency bonds and then using the invested funds for personal and business ...
Continue reading "Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors" »

Ferry, Clinton and Martin Sentenced for Conspiracy, Mail and Wire Fraud in FBI Sting

Former Southern California securities professionals Dennis J. Clinton and Paul R. Martin were sentenced to 30 months and William J. Ferry was sentenced to serve 15 months in prison for their roles in ...
Continue reading "Ferry, Clinton and Martin Sentenced for Conspiracy, Mail and Wire Fraud in FBI Sting" »

Proposed Fiduciary Rule Changes Signal Heightened Due Diligence Requirements for Brokers, Advisors

FINRA, the SEC and the US Department of Labor are considering, and/or proposing changes to fiduciary standards for brokers and advisors as the agencies strive towards a new "culture of fiduciary ...
Continue reading "Proposed Fiduciary Rule Changes Signal Heightened Due Diligence Requirements for Brokers, Advisors" »

Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud

FINRA barred former J.P. Turner & Company LLC registered principals Brian Matt Borakowski and George Alexander Kardaras after finding they engaged in securities fraud and defrauded investors ...
Continue reading "Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud" »

Veterans Beware: Rogue Financial Advisor "Pension Poachers" Targeting Military Benefits

New research by the Wall Street Journal has uncovered a disturbing trend of financial planners and advisers known as "pension poachers" targeting military veterans for financial crimes and ...
Continue reading "Veterans Beware: Rogue Financial Advisor "Pension Poachers" Targeting Military Benefits" »

Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names

The SEC acknowledged concern about fund names, releasing a guidance update advising investment companies, firms, and issuers against using misleading terminology when naming mutual funds, namely and ...
Continue reading "Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names" »

FINRA: Volatile Interest Rates Are Next Major Threat to Investment Portfolios

FINRA is warning securities industry stakeholders of volatile interest rates, which the regulatory authority proclaims is the "next major threat" to industry customers. Citing securities ...
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FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available

FINRA upgraded its BrokerCheck technology over the Veterans Day weekend, making it easier for the investing public to view detailed record information about brokers and other professionals registered ...
Continue reading "FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available" »

TD Ameritrade Clearing & SG Americas Securities Fined $1.8 Million for Reporting, Supervisory Violations

FINRA fined TD Ameritrade Clearing, Inc. and SG Americas Securities, LLC for failure to report large options positions and related failure to supervise. According to FINRA, the two firms failed to ...
Continue reading "TD Ameritrade Clearing & SG Americas Securities Fined $1.8 Million for Reporting, Supervisory Violations" »

Meghan E. Kassel Fined and Suspended for Submitting Falsified Variable Annuity Document

FINRA fined and suspended former American Fidelity Securities, Inc. representative Meghan E. Kassel of Rancho Murieta, California and Oklahoma for submitting an inappropriately altered customer ...
Continue reading "Meghan E. Kassel Fined and Suspended for Submitting Falsified Variable Annuity Document" »

Mass. Fines Merrill Lynch $500K for Failing to Stop Broker Misconduct

The Massachusetts Securities Division fined Merrill Lynch Pierce Fenner & Smith Inc. $500,000, alleging the firm failed to stop a broker from "borrowing" over $2 million of client ...
Continue reading "Mass. Fines Merrill Lynch $500K for Failing to Stop Broker Misconduct" »

Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider

FINRA issued an investor alert this week titled " Closed-End Fund Distributions: Where is the Money Coming From? " in which it discusses the difference between a closed-end fund versus a ...
Continue reading "Closed-End Fund Distributions FINRA Investor Alert Issued: Points to Consider" »

About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry

Following her September 2013, suspension from the securities industry for failing to pay an arbitration award, FINRA filed a civil enforcement complaint against Bambi Holzer alleging multiple ...
Continue reading "About Time: FINRA Files Complaint Alleging Unsuitable Recommendations, Falsification of Records After Beverly Hills Broker Bambi Holzer Suspended From Industry" »
163 results found. Viewing page 1 of 7. Go to page 1 2 3 4 5 6 7   Next
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