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Blog Posts in December, 2015

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" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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