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Blog Posts in February, 2014

Sutherland Review: FINRA Fines Decrease 27%, Actions Reported Remains Flat

Compared to 2012, FINRA issued a nearly identical number of disciplinary actions in 2013, but decreased the amount of fines levied by 27%, according to the annual Sutherland report generated by ...
Continue reading "Sutherland Review: FINRA Fines Decrease 27%, Actions Reported Remains Flat" »

Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales

FINRA fined Berthel, Fisher & Company Financial Services, Inc. and its affiliate, Securities Management & Research, Inc. a combined $775,000 for what regulators describe as supervisory ...
Continue reading "Berthel Fisher & Co. Financial Services, Affiliate Fined $775,000 for Compliance Failures, Inappropriate Alternative Investment Sales" »

Former Wedbush Securities Rep Karen Ann Mendez Barred for Misappropriation of Funds, Falsified Records

FINRA barred former Wedbush Securities Inc. representative Karen Ann Mendez of Southern California for misappropriation of funds which occurred over the March 2008 through April 2012 period. The ...
Continue reading "Former Wedbush Securities Rep Karen Ann Mendez Barred for Misappropriation of Funds, Falsified Records" »

Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme

The U.S. District Court sentenced former Bank of America Merrill Lynch financial adviser Gary Harrison Lane to 10 years in prison after convictions on 29 counts with charges including defrauding ...
Continue reading "Former Merrill Lynch Adviser Gary H. Lane Given 10 Year Prison Sentence for Defrauding Elderly Investors via Ponzi Scheme" »

Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers

FINRA barred California broker Patrick Joseph Donohue, formerly of Morgan Stanley Smith Barney, for engaging in an outside business activity without providing written notice to his firm, making false ...
Continue reading "Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers" »

Jose Jesus Martinez Jr. Barred for Wrongful Conversion of Elderly Customer Funds

FINRA barred former JPMorgan Chase Bank branch officer manager Jose Jesus Martinez, Jr. for allegedly using an elderly customer's bank debit card to misappropriate funds after the customer left ...
Continue reading "Jose Jesus Martinez Jr. Barred for Wrongful Conversion of Elderly Customer Funds" »

CFP Advisors Steven Wilkinson, Noah Myers, Dan Glick & Robert Wheeling Stripped of CFP Certification for Misconduct

The Certified Financial Planner Board of Standards, Inc. ("CFP Board") permanently revoked the CFP certification rights of Oakland, California planner Steven Wilkinson, Connecticut's ...
Continue reading "CFP Advisors Steven Wilkinson, Noah Myers, Dan Glick & Robert Wheeling Stripped of CFP Certification for Misconduct" »

Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements

FINRA proposed a rules change that, if approved by the SEC, will change the way broker-dealers list the price of nontraded real estate investment trusts (REITs), thereby increasing transparency for ...
Continue reading "Proposed Rules Change Requires Firms to Issue Clearer Nontraded REIT Statements" »

Banorte-Ixe Securities Fined $475K for Anti-Money Laundering Program Failures

FINRA fined Banorte-Ixe Securities International, Ltd. $475,000 for inadequately addressing anti-money laundering (AML) systems and procedures. FINRA also disciplined Banorte-Ixe for failing to ...
Continue reading "Banorte-Ixe Securities Fined $475K for Anti-Money Laundering Program Failures" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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