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Blog Posts in 2015

124 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   Next

CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme

The CFP suspended advisor David Lawrence Gabai of West Hills, California after discovering that FINRA had barred him for the use of "deceptive, fraudulent and manipulative devices and schemes ...
Continue reading "CFP Board Suspends David Gabai After FINRA Bar for Alleged Deceptive and Fraudulent Scheme" »

Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations

FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution and $3.75m in fines for a total of $13.75 million in sanctions over a series of mutual fund-related suitability violations ...
Continue reading "Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations" »

Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million

Merrill Lynch settled 23 complaints of fraud levied against former broker Thomas Joseph Buck for $4.1 million, including one for $719,000. The settlements follow an earlier FINRA investigation and ...
Continue reading "Merrill Lynch Settles 23 Complaints Against Barred Broker Thomas J. Buck for $4.1 Million" »

Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures

FINRA fined Cantor Fitzgerald & Co. $6 million and ordered nearly $1.3 in disgorgement in commissions and interest for selling billions of unregistered microcap shares, which is a violation of ...
Continue reading "Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures" »

Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft

FINRA ordered Fidelity Brokerage Services LLC to pay over $1 million for failing to follow up on red flags to detect or prevent theft from senior investors. Fidelity must pay a $500,000 fine and ...
Continue reading "Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft" »

J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures

J.P. Morgan Securities and JPMorgan Chase Bank agreed to jointly pay over $300 million to settle SEC and US Commodity Futures Trading Commission charges that the two J.P. Morgan wealth management ...
Continue reading "J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures" »

William Watson Fined & Suspended for Misleading, Unfair and Unbalanced Marketing

FINRA fined and suspended William Henry Watson III, the former Vice President of Corporate Finance at Finance 500, Inc. in Irvine, California, for purportedly participating in securities offerings ...
Continue reading "William Watson Fined & Suspended for Misleading, Unfair and Unbalanced Marketing" »

SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning

The SEC permanently barred JP Turner & Co. brokers Ralph Christopher Calabro, Jason Ivan Konner, and Dimitrios Koutsoubos for willfully churning customer accounts and ordered fines and ...
Continue reading "SEC Bars of Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos for Churning" »

Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity

FINRA barred former Waddell & Reed broker Joseph Robert Holzhause for signing and distributing a misleading letter on firm letterhead and for failing to inform Waddell & Reed of an outside ...
Continue reading "Joseph Holzhause Barred for False and Misleading Letter, Undisclosed Business Activity" »

Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision

FINRA fined Scottrade, Inc. $2.6 million for failures related to its electronic records and e-mails: specifically, that the firm failed to retain a "large number" of securities-related ...
Continue reading "Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision" »

MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations

MetLife Inc. announced it is expecting a "significant fine" for potential variable annuities (VA) violations originating from affiliated broker-dealer MetLife Securities, Inc. (MSI), which ...
Continue reading "MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations" »

Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate

FINRA suspended former Wilson-Davis & Co., Inc. broker Anthony "Tony" Benedict Kerrigone and fined him $10,000 for placing orders to short sell low-priced stocks and failing to locate ...
Continue reading "Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate" »

FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds

FINRA ordered payment of over $18 million in restitution to customers overcharged for mutual fund transactions at five member firms: Edward D. Jones & Co., LP; Stifel Nicolaus & Company, Inc.; ...
Continue reading "FINRA Orders 5 Firms to Pay $18 Million in Restitution for Overcharged Mutual Funds" »

New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk

FINRA issued an investor alert on binary options trading, pointing to similar Commodity Futures Trading Commission (CFTC) and SEC alerts that already warn investors as to the dangers and extreme risk ...
Continue reading "New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk" »

James Christianson Fined, Suspended for Unauthorized Use of Discretion

FINRA suspended former Wells Fargo financial advisor James Gavin Christianson for exercising discretion to complete several hundreds of purchases and sales in customer accounts without obtaining ...
Continue reading "James Christianson Fined, Suspended for Unauthorized Use of Discretion" »

Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges

FINRA sanctioned six broker-dealers a combined $740,900—which includes fines and restitution—for failing to apply discounts to eligible customer purchases of non-traded real estate ...
Continue reading "Voya, Transamerica, Investacorp, JP Turner, National Planning & Cetera Fined for Excess REIT Sales Charges" »

UBS Managed High Yield Plus Fund Board Approves Liquidation Plan

The Managed High Yield Plus Fund Inc. Board of Directors approved a proposal to liquidate the fund in 2016, based on the recommendation of UBS Global Asset Management (Americas) Inc., which is the ...
Continue reading "UBS Managed High Yield Plus Fund Board Approves Liquidation Plan" »

FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200

FINRA filed a disciplinary complaint against broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, California branch, alleging that he failed to confirm the identity of a customer ...
Continue reading "FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200" »

Emily S Pao Barred for Failure to Cooperate with Conversion Investigation

FINRA barred former HSBC Securities broker Emily S Pao of HSBC's San Gabriel, California branch for refusing to cooperate with FINRA's investigation into allegations that Pao improperly ...
Continue reading "Emily S Pao Barred for Failure to Cooperate with Conversion Investigation" »

FINRA Expels Halcyon Cabot Partners and Bars CEO Michael Morris, CCO Ronald Heineman for Fraud, Fee Kickback Scheme

FINRA expelled Halcyon Cabot Partners, Ltd. and barred executives Michael Morris and Ronald Heineman for fraud, sales practice abuses and supervisory/anti-money laundering (AML) failures, including an ...
Continue reading "FINRA Expels Halcyon Cabot Partners and Bars CEO Michael Morris, CCO Ronald Heineman for Fraud, Fee Kickback Scheme" »

FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product

FINRA suspended former Park Avenue Securities (Las Vegas, NV) broker Todd Alan Shanholtzer and fined him $10,000 for mishandling customer funds related to the surrender and reinvestment of a ...
Continue reading "FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product" »

Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer

FINRA barred Heidi Diana Carter, a former broker with JP Morgan Securities' Hollywood branch and employee with JPMorgan Chase Bank in San Diego, for refusing to cooperate with an investigation ...
Continue reading "Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer" »

FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs

FINRA barred former WFG Investments and Securities America supervisor Willard Lee Golightly aka Bill Golightly for failing to adequately respond to "numerous red flags" that one of his ...
Continue reading "FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs" »

FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct

FINRA is cracking down at firms such as Global Arena Capital Corp. which hire troubled brokers who move from one risky firm to another. The practice, known as "cockroaching" or "broker ...
Continue reading "FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct" »

Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures

FINRA suspended Dean Michael Yurica, formerly of Sacramento's LPL Financial office, for falsifying over 100 customer account documents in contravention of firm procedures. FINRA also fined Yurica ...
Continue reading "Dean Michael Yurica Fined, Suspended for Falsifying Customer Documents, Re-Using Signatures" »
124 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   Next
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