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

Categories

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.

Blog Posts in March, 2013

UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy

UBS's long-standing and profitable Willow Fund, whose assets approached $500 million in 2006, recently began the process of liquidation after the fund's portfolio manager, Sam S. Kim, switched ...
Continue reading "UBS-Sponsored Willow Fund Drops 80 Percent After Manager Sam Kim Switches to Risky Derivatives Strategy" »

Jon Herbert Green Suspended For Failure to Repay Elderly Customer's Loan in Timely Manner

The Financial Industry Regulatory Authority has suspended broker Jon Herbert Green of Escondido, California for allegedly obtaining and failing to repay in full an eight-year-old loan from what FINRA ...
Continue reading "Jon Herbert Green Suspended For Failure to Repay Elderly Customer's Loan in Timely Manner" »

James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm

FINRA suspended James Martin Higgs and fined him $10,000 for improper equity-indexed annuities ("EIAs") sales made outside the scope of his employment with and without the knowledge or ...
Continue reading "James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm" »

Steven Joseph Corzan Barred for Unapproved Private Securities Transactions of Positions Linked to Ponzi Scheme

FINRA barred broker Steven Joseph Corzan of Aliso Viejo, California for allegedly engaging in private securities transactions that his then—employing firm, MML Investors Services, Inc., had not ...
Continue reading "Steven Joseph Corzan Barred for Unapproved Private Securities Transactions of Positions Linked to Ponzi Scheme" »

Michael Mendenhall Barred for Borrowing from Elderly Customers, Untruthful Reply to FINRA Inquiry

FINRA has barred broker Michael Mendenhall of Denver, Colorado for allegedly providing false and misleading information to FINRA in connection with an investigation into whether Mendenhall had ...
Continue reading "Michael Mendenhall Barred for Borrowing from Elderly Customers, Untruthful Reply to FINRA Inquiry" »

LPL Financial Firm Under Fire and On Radar with Several Securities Regulators

According to Nathaniel Popper of The New York Times, investment firm LPL Financial has ratcheted up a sequence of problems with multiple securities regulators LPL is not unique nor alone in its ...
Continue reading "LPL Financial Firm Under Fire and On Radar with Several Securities Regulators" »

Gary Reed Feldman Fined &Suspended for Improperly Soliciting Investments

FINRA suspended broker Gary Reed Feldman and fined him $25,000 for soliciting investments in violation of federal law and making misleading statements. FINRA Case #20110278747401 ( ...
Continue reading "Gary Reed Feldman Fined &Suspended for Improperly Soliciting Investments" »

Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading

FINRA fined broker Richard Grant Cody $27,500 and suspended him through January 6, 2014 after Cody was found to have engaged in unsuitable and excessive trading in customer accounts. The sanctions ...
Continue reading "Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading" »

Alberto Neira Barred for Failure to Disclose Outside Business, Investment Sales

FINRA barred former Linsco Private Ledger (LPL) associate Alberto Neira of Irvine, California for failure to disclose a key outside business activity, in which Neira was a director of Silver Oak ...
Continue reading "Alberto Neira Barred for Failure to Disclose Outside Business, Investment Sales" »

Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud

FINRA barred Jane Elizabeth O'Brien after she allegedly borrowed $3 million from clients without permission from and without the knowledge of either of her two employing firms, Citigroup Global ...
Continue reading "Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud" »

Su-Chin Liu Barred In Connection with Investigation into Improper Premium Payments

FINRA barred Su-Chin Liu of Fremont, California from the securities industry after she failed to cooperate with an investigation into improper payments she allegedly made on behalf of clients in order ...
Continue reading "Su-Chin Liu Barred In Connection with Investigation into Improper Premium Payments" »

SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading

The Securities and Exchange Commission has secured a record $616 million settlement with Steven A. Cohen's hedge fund, SAC Capital Advisors, which is linked with Sigma Capital Management and CR ...
Continue reading "SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading" »

Adorean Boleancu (Wells Fargo) Ordered to Pay $650,000 in Restitution for Improper Conversion of Funds

FINRA barred former California-based Wells Fargo Advisors, LLC broker Adorean Boleancu and ordered the former securities representative to pay restitution to an elderly, widowed customer in the amount ...
Continue reading "Adorean Boleancu (Wells Fargo) Ordered to Pay $650,000 in Restitution for Improper Conversion of Funds" »

Scott Bailey Nelson Suspended and Fined for Fixed Indexed Annuity Sale Outside of Firm

FINRA suspended Scott Bailey Nelson and fined him $5,000 for allegedly selling a fixed indexed annuity to a customer outside the scope of his employment with FINRA-member firm Presidential Brokerage, ...
Continue reading "Scott Bailey Nelson Suspended and Fined for Fixed Indexed Annuity Sale Outside of Firm" »

Christian A. Molina Barred for Unauthorized Withdrawal on Altered Bank Slip

FINRA barred former Chase Investment Services Corp. representative Christian A. Molina for allegedly negotiating a $4,000 withdrawal from a client's account without the client's knowledge or ...
Continue reading "Christian A. Molina Barred for Unauthorized Withdrawal on Altered Bank Slip" »

James D. Grimes Barred for Conversion of Funds After Forging Customer Signatures

FINRA barred former Financial Network Investment Corporation (FNIC) and Triad Advisors broker James D. Grimes for improperly transferring $306,000 and wrongfully converting over $250,000 of those ...
Continue reading "James D. Grimes Barred for Conversion of Funds After Forging Customer Signatures" »

Christopher Michael Frank Fined & Suspended for Unauthorized Transactions

FINRA suspended Christopher Michael Frank of Los Angeles, California and fined him $5,000 for allegedly effecting multiple options transactions in a customer's account without the customer's ...
Continue reading "Christopher Michael Frank Fined & Suspended for Unauthorized Transactions" »

Apple Linked Reverse Convertibles (RevCons) Prove Risky as Maturity Nears

With high profile Morgan Stanley and RBC Capital Markets, LLC Apple Inc. (AAPL)-linked reverse convertibles (also called "RevCons," "Revertibles" and/or "Reverse Convertible ...
Continue reading "Apple Linked Reverse Convertibles (RevCons) Prove Risky as Maturity Nears" »
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: