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Blog Posts in February, 2013

Mark E. Marek Barred When Unsuitable Investment Recommendation After Client Loses Nearly $600,000

FINRA barred former Riverstone Wealth Management, Inc. broker Mark E. Marek for making unsuitable investment recommendations to a customer, the implementation of which allegedly resulted in a loss of ...
Continue reading "Mark E. Marek Barred When Unsuitable Investment Recommendation After Client Loses Nearly $600,000" »

Broker Gregory Evan Goldstein Fails to Respond to FINRA Requests, Earns Suspension

FINRA suspended broker Gregory Evan Goldstein of Southern California after Goldstein failed to respond to FINRA requests for information concerning a consulting business he operates. Following an ...
Continue reading "Broker Gregory Evan Goldstein Fails to Respond to FINRA Requests, Earns Suspension" »

John L. Gathright Jr. Barred for Misappropriating Annuity Funds After Completing VA Surrender Request Forms

The Financial Industry Regulatory Authority barred former Merrill Lynch, Pierce, Fenner & Smith Inc. broker John L. Gathright for allegedly misappropriating $717,000 from 10 investors and ...
Continue reading "John L. Gathright Jr. Barred for Misappropriating Annuity Funds After Completing VA Surrender Request Forms" »

Neil Copeland Winterrowd Barred for Misappropriation of $1.5 Million in Customer Funds

FINRA barred former JP Turner & Company, LLC broker Neil Copeland Winterrowd of Coto de Caza, California for allegedly misappropriating $1.5 million from multiple customers for personal use and ...
Continue reading "Neil Copeland Winterrowd Barred for Misappropriation of $1.5 Million in Customer Funds" »

FINRA Investor Alert: Bond Portfolios Could be At Risk with Looming Interest Rate Hike

The Financial Industry Regulatory Authority issued an Investor Alert regarding bonds, duration and interest rates. FINRA is specifically warning investors of the perils of an interest rate increase ...
Continue reading "FINRA Investor Alert: Bond Portfolios Could be At Risk with Looming Interest Rate Hike" »

Jay Sheldon Potter Jr. Fined & Suspended for Confidentially Settling Complaint without Informing Firm

FINRA suspended San Diego's Jay Sheldon Potter, Jr. through June 16, 2014, and fined him $10,000 after Potter allegedly failed to disclose a customer's complaint against him and settled the ...
Continue reading "Jay Sheldon Potter Jr. Fined & Suspended for Confidentially Settling Complaint without Informing Firm" »

Jeffrey Alan Hutman Fined & Suspended in Relation to Variable Annuity Transactions Outside of Firm

The Financial Industry Regulatory Authority suspended stockbroker Jeffrey Alan Hutman, formerly of Pruco Securities, LLC, through March 31, 2013 and fined him $10,000 for allegedly recommending ...
Continue reading "Jeffrey Alan Hutman Fined & Suspended in Relation to Variable Annuity Transactions Outside of Firm" »

Richard Lee Ell Sanctioned in Connection with Variable Annuity Transaction Charges & Complaint

In a case reported only recently by FINRA, Richard Lee Ell was suspended through the end of December 2012 and fined $5,000 after allegedly settling a customer complaint without informing his firm, ...
Continue reading "Richard Lee Ell Sanctioned in Connection with Variable Annuity Transaction Charges & Complaint" »

Mark Everrett Friesen Fined & Suspended for Failing to Report Felony Charges

The Financial Industry Regulatory Authority fined stockbroker Mark Everrett Friesen of San Francisco, California $5,000 and suspended him through March 31, 2013, for allegedly willfully neglecting to ...
Continue reading "Mark Everrett Friesen Fined & Suspended for Failing to Report Felony Charges" »

Massachusetts Regulators Order LPL Financial to Pay $2 Million in Restitution

The Massachusetts Security Division has ordered LPL Financial LLC to pay over $2 million in restitution to investors who purchased shares of non-traded real estate investment trusts ("non-traded ...
Continue reading "Massachusetts Regulators Order LPL Financial to Pay $2 Million in Restitution" »

Gabriel Arnaud Dupin De Saint Cyr Fined & Suspended After Forging Form Signatures

FINRA fined Gabriel Arnaud Dupin de Saint Cyr of Torrance,California and fined him $7,000 for allegedly signing his supervisor's name on two "Change of Broker/Dealer Request" forms ...
Continue reading "Gabriel Arnaud Dupin De Saint Cyr Fined & Suspended After Forging Form Signatures" »

UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors

Imagine, you are at home and the mailman delivers a piece of mail from your brokerage firm. Upon opening it, you read that because you are a bond investor, your brokerage firm will now arbitrarily ...
Continue reading "UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors" »

Henry John Dellaquila Fined $55,000 and Suspended for Unauthorized Variable Annuity Transactions

FINRA suspended Henry John Dellaquila until December 3, 2013 for allegedly selling $1.37 million in variable annuities to 13 customers from January 2006 through November 2010 without his employing ...
Continue reading "Henry John Dellaquila Fined $55,000 and Suspended for Unauthorized Variable Annuity Transactions" »
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