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Blog Posts in August, 2014

Matthew John Davis Barred For Failure to Cooperate with FINRA Investigation into Misconduct, Forgery Claims

FINRA barred former OneAmerica Securities, Inc. broker and investment adviser Matthew John Davis of Murietta, California for failing to cooperate with a FINRA investigation into several allegations of ...
Continue reading "Matthew John Davis Barred For Failure to Cooperate with FINRA Investigation into Misconduct, Forgery Claims" »

Disease Investment Scam Tips: How to Identify and Avoid Fraudulent Scheme Infection

With Ebola, Middle East Respiratory Syndrome (MERS), West Nile Virus and other viral outbreaks dramatized by news media, stock scammers have taken to capitalizing on fears of a potential pandemic, ...
Continue reading "Disease Investment Scam Tips: How to Identify and Avoid Fraudulent Scheme Infection" »

Citigroup Fined $1.85 Million, Ordered to Pay $638,000 Restitution for Non-Convertible Preferred Securities Violations

FINRA fined Citigroup Global Markets Inc. $1.85 million and ordered the firm to pay $638,000 in restitution for best execution and supervisory failures in over 22,000 customer transactions involving ...
Continue reading "Citigroup Fined $1.85 Million, Ordered to Pay $638,000 Restitution for Non-Convertible Preferred Securities Violations" »

Airbags - Unsafe at any Speed

"Airbags" are a new twist on the old reverse convertible structured product. We are beginning to see investors bringing in account statements and materials related to these types of ...
Continue reading "Airbags - Unsafe at any Speed" »

FINRA Charges Wedbush Securities with Insufficient Controls, Leading to Manipulative Trades

FINRA accused Los Angeles-based Wedbush Securities of systematic market access violations and anti-money laundering ("AML") deficiencies, filing a complaint that charged Wedbush with failing ...
Continue reading "FINRA Charges Wedbush Securities with Insufficient Controls, Leading to Manipulative Trades" »

Ex-Wells Fargo Broker, Michael James Frew, Barred for Failure to Cooperate with Investigation into Alleged Conversion of Funds and Ponzi Scheme

FINRA barred former Wells Fargo Advisors, LLC representative Michael James Frew of Hillsborough, California for refusing to cooperate with both firm and FINRA investigations into allegations that Frew ...
Continue reading "Ex-Wells Fargo Broker, Michael James Frew, Barred for Failure to Cooperate with Investigation into Alleged Conversion of Funds and Ponzi Scheme" »

Tony Huang, formerly of NY Life Securities, LLC, Barred for Falsifying Life Insurance Applications

FINRA barred a former NY Life Securities, LLC broker, Tony Huang, for allegedly partaking in a scheme to falsify life insurance applications. In addition to forging customer signatures, in some ...
Continue reading "Tony Huang, formerly of NY Life Securities, LLC, Barred for Falsifying Life Insurance Applications" »

Former LPL Financial's Mehrdad Farhat Fined, Suspended for Undisclosed Outside Business Activity

FINRA suspended former broker and current financial advisor Mehrdad Michael Farhat of West Hollywood, California failing to disclose his involvement in commodities trading outside the scope of his ...
Continue reading "Former LPL Financial's Mehrdad Farhat Fined, Suspended for Undisclosed Outside Business Activity" »

FINRA Reports Increase in Online Phishing Identify Theft Scams: Identifying the Risks

Scams that use spam e-mails, fake websites and other online trickery to con investors into disclosing personal information such as bank or investment account information, PINs, passwords and social ...
Continue reading "FINRA Reports Increase in Online Phishing Identify Theft Scams: Identifying the Risks" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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