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Blog Posts in June, 2014

FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm

FINRA suspended Santa Monica, California-based broker Dale Herman Stevens and fined him $5,000 for engaging in an outside business activity without providing notice to his employing firm, Syndicated ...
Continue reading "FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm" »

Former LPL Financial Broker Joshua Allen Farahi for Unauthorized Outside Business Activity

FINRA suspended former LPL Financial, Inc. broker Joshua Allen Farahi and fined him $25,000 for engaging in a prohibited outside business activity and making misstatements to his employing firm ...
Continue reading "Former LPL Financial Broker Joshua Allen Farahi for Unauthorized Outside Business Activity" »

Gary Allen Cabello Barred for Conspiring to Commit Bribery

On April 13, 2014, FINRA barred Westminster, California broker Gary Allen Cabello formerly registered as a representative with Alta Vista Financial, Inc. and most recently Cabrera Capital Markets, ...
Continue reading "Gary Allen Cabello Barred for Conspiring to Commit Bribery" »

Securities and Exchange Commission Upholds FINRA'S Censure and $50,000 Fine of Member Firm CapWest Securities Over Tenant-in-Common Investments

The Securities and Exchange Commission sustained disciplinary sanctions stemming from a 2007 case in which FINRA found that CapWest Securities, Inc. promoted through firm communications the use of IRS ...
Continue reading "Securities and Exchange Commission Upholds FINRA'S Censure and $50,000 Fine of Member Firm CapWest Securities Over Tenant-in-Common Investments" »

At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records

According to FINRA records, 31 of the 37 FINRA-registered brokers at investment firm IAA Financial previously were associated with troubled firms shut down or banished from the securities industry by ...
Continue reading "At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records" »

Broker Patricia Miller Facing Fraud Charges After Clients' Life Savings Go Missing

Broker Patricia S. Miller is facing federal wire fraud charges after several of her clients reported large sums of money disappearing while under her care. In May, Investors Capital Corp. terminated ...
Continue reading "Broker Patricia Miller Facing Fraud Charges After Clients' Life Savings Go Missing" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

FINRA Issues Investment Alert Targeting High-Yield CD Scams

FINRA issued an investment alert warning investors of "too good to be true" certificates of deposit (CD) promotions promising substantially higher-than-average interest rates and yields. ...
Continue reading "FINRA Issues Investment Alert Targeting High-Yield CD Scams" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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