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Blog Posts in September, 2014

WFG Investments Inc. Expecting Second Six-Figure Fine in Two Years After $200k Fraud Penalty

Dallas-based broker-dealer WFG Investments, Inc., also known as the Wilson Williams Financial Group, is facing a $650,000 "global fine" from FINRA for undisclosed reasons, which would be the ...
Continue reading "WFG Investments Inc. Expecting Second Six-Figure Fine in Two Years After $200k Fraud Penalty" »

2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds

ThinkAdvisor released its list of the 12 worst financial advisors in America for 2014, featuring a lineup of alleged scammers and fraudsters who duped victims out of millions of dollars, targeted ...
Continue reading "2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds" »

SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading

Wells Fargo Advisors LLC admitted it failed to maintain adequate controls to prevent one of its brokers, Miami-based Waldyr Da Silva Prado Neto, from trading on inside information. The Securities and ...
Continue reading "SEC Fines Wells Fargo Advisors $5 Million for Inadequate Controls to Prevent Broker's Insider Trading" »

SEC Charges Eight, Including de Maison, in Pump-and-Dump Penny Stock Fraud Scheme

In a complaint filed in concurrence with the FBI's arrests of Izak Zirk De Maison and Stephen Joel Wilshinsky in Los Angeles last week, the Securities and Exchange Commission charged eight ...
Continue reading "SEC Charges Eight, Including de Maison, in Pump-and-Dump Penny Stock Fraud Scheme" »

FBI Arrests De Maison and Wilshinsky in Multi-Million Dollar Penny Stock Fraud

On September 18, 2014, the FBI arrested Izak Sirk De Maison (aka Izak Zirk Engelbrecht) and Stephen Joel Wilshinsky in Los Angeles, California for their criminal involvement in a penny stock scheme to ...
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Bradley Thomas Badger Fined and Suspended for Undisclosed Outside Trading and Real Estate Business

FINRA suspended former Northwestern Mutual Investment Services, LLC associate, Bradley Thomas Badger, of Pleasanton, California and fined him $10,000 for participating in a currency trading and real ...
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FINRA Releases Frontier Funds Investment Alert

FINRA issued an alert to investors interested in frontier funds, which are products that operate in developing markets (e.g., "the frontier"). Of concern is that because these developing ...
Continue reading "FINRA Releases Frontier Funds Investment Alert" »

Wells Fargo Advisors Warned of Possible Action for Anti-Money Laundering Failures

FINRA warned Wells Fargo Advisors, LLC it is contemplating regulatory action for Wells Fargo's alleged anti-money laundering (AML) program failures, indicating the regulator may recommend ...
Continue reading "Wells Fargo Advisors Warned of Possible Action for Anti-Money Laundering Failures" »

Former LPL Broker Blake Richards Ordered to Pay $2 Million for Defrauding Clients

The US District Court of the Northern District of Georgia ordered former LPL Financial LLC broker Blake Bancroft Richards to pay approximately $2 million in disgorgement and penalties to clients ...
Continue reading "Former LPL Broker Blake Richards Ordered to Pay $2 Million for Defrauding Clients" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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