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Blog Posts in January, 2013

Peter C. Bishop Fined & Suspended For Allegedly Effecting Unauthorized Trades After Customer's Death

FINRA suspended broker Peter C. Bishop and fined him $10,000 after its investigation found he had executed four trades on behalf of a deceased investor, without authorization, including several trades ...
Continue reading "Peter C. Bishop Fined & Suspended For Allegedly Effecting Unauthorized Trades After Customer's Death" »

Marshall Douglas Nelson Suspended for Unsuitable Recommendations to Elderly Customer, Restitution Ordered

The Financial Industry Regulatory Authority suspended Marshall Douglas Nelson for allegedly making unsuitable recommendations to a 70-year-old customer while associated with SWS Financial Services, ...
Continue reading "Marshall Douglas Nelson Suspended for Unsuitable Recommendations to Elderly Customer, Restitution Ordered" »

Following Massachusetts Lawsuit LPL Changes ETF Compliance Policies

In the wake of the Massachusetts Securities Division's December 2012 lawsuit against LPL Financial LLC —in which state regulators charged LPL Financial with poor supervision and improper ...
Continue reading "Following Massachusetts Lawsuit LPL Changes ETF Compliance Policies" »

After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities

FINRA'S National Adjudicatory Council (NAC) has upheld a FINRA Office of Hearing Officers' (OHO) decision to bar and fine Nolan Wayne Moore of Beaumont, California for failing to appear for an ...
Continue reading "After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities" »

Revenge of the Reverse Convertible - Apple

In September 2012, Apple shares ("AAPL") were valued at more than $700 per share. As of January 25, 2013, they closed at $439.88 per share. The losses to the stock's investors is ugly. ...
Continue reading "Revenge of the Reverse Convertible - Apple" »

Douglas Gregory Bezio Fined and Suspended for Unsuitable, Unauthorized and Excessive Trading

FINRA suspended broker Douglas Gregory Bezio and fined him $10,000 after discovering Bezio lacked reasonable grounds with which to recommend the acquisition of mutual funds for a customer and that ...
Continue reading "Douglas Gregory Bezio Fined and Suspended for Unsuitable, Unauthorized and Excessive Trading" »

FINRA's Five Tips for Financial Well Being

The Financial Industry Regulatory Authority Investor Education Foundation has released its Five Tips to Keep Your Finances From Going Off a Cliff, a money management investment alert which addresses a ...
Continue reading "FINRA's Five Tips for Financial Well Being" »

James Charles Allen Barred for Failure to Cooperate with Investigation into Material Misrepresentations and Omissions Regarding Oil and Gas Offerings

FINRA has barred the former President of The Patriot Group Securities James Charles Allen after investigators determined Allen negligently allowed misleading investment documents to be distributed ...
Continue reading "James Charles Allen Barred for Failure to Cooperate with Investigation into Material Misrepresentations and Omissions Regarding Oil and Gas Offerings" »

Supreme Court to Consider Tightening SEC Suit Time Limit Rules for Fraud

In an early January hearing, the United States Supreme Court heard arguments in Gabelli v. SEC, a case in which Gabelli Funds LLC portfolio manager Marc J. Gabelli and chief operating officer Bruce ...
Continue reading "Supreme Court to Consider Tightening SEC Suit Time Limit Rules for Fraud" »

Tam Thanh Tran (Tom Tran) Barred for Failure to Cooperate with Investigation into Providing False Information

The Financial Industry Regulatory Authority barred broker Tam Thanh Tran a.k.a. Tom Tran for failure to cooperate with a FINRA investigation into allegations that Tran mischaracterized $18,000 worth ...
Continue reading "Tam Thanh Tran (Tom Tran) Barred for Failure to Cooperate with Investigation into Providing False Information" »

Doran Lynn Follis Suspended for Inadequate Due Diligence, Improper Recommendations

The Financial Industry Regulatory Authority suspended Doran Lynn Follis of Huntington Beach, California, through March 3, 2013 for allegedly failing to conduct adequate due diligence in regards to a ...
Continue reading "Doran Lynn Follis Suspended for Inadequate Due Diligence, Improper Recommendations" »

Adam Spencer Deane Suspended & Fined $25,000 for Improper Out-of-State VA Transaction

The Financial Industry Regulatory Authority has suspended broker Adam Spencer Deane of Naples, Florida and fined him $25,000 for allegedly recommending and executing a variably annuity (VA) ...
Continue reading "Adam Spencer Deane Suspended & Fined $25,000 for Improper Out-of-State VA Transaction" »

California Appeals Court Demonstrates Strong Presumption for Arbitration in Reversal

The California Court of Appeals has reversed a lower court's ruling in which the lower court ruled that a jilted investor did not have to arbitrate with a former associated person of a defunct ...
Continue reading "California Appeals Court Demonstrates Strong Presumption for Arbitration in Reversal" »

Philip Horn Guilty of Fraud: History and Risk of Horn's "Friendly" Scheme

Registered with FINRA as a Los Angeles-area stockbroker and the SEC as an investment adviser, former Lehman Brothers, Inc., Citigroup Global Markets, Inc. and Wells Fargo Advisors, LLC associate ...
Continue reading "Philip Horn Guilty of Fraud: History and Risk of Horn's "Friendly" Scheme" »
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