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Blog Posts in July, 2015

Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud

FINRA barred former Merrill Lynch and RBC Capital broker Thomas Joseph Buck for misleading and overcharging clients from 2009-2015 while he was associated with Merrill Lynch, thus willfully committing ...
Continue reading "Ex-Billion-Dollar Merrill Lynch, RBC Broker Thomas J. Buck Barred for Overcharging and Misleading Clients, Fraud" »

Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors

Complex Exchange Traded Products (ETPs), such as inverse and/or leveraged exchange traded funds (ETFs) and notes (ETNs) may prove unsuitable for investors with low-risk objectives as well as clients ...
Continue reading "Volatile Complex Exchange Traded Products (ETFs, ETNs, etc.) May Be Unsuitable for Conservative Investors" »

Merill Lynch Fires Senior VP Marc D Lowe of the $2.5 Billion Vilardo, Lowe & Associates Team for "Inappropriate Workplace Behavior"

Brokerage firm Merrill Lynch dismissed Los Angeles Senior Vice President Marc D Lowe, who as a broker oversaw $2.5 billion in client assets in Southern California for what the firm is categorizing as ...
Continue reading "Merill Lynch Fires Senior VP Marc D Lowe of the $2.5 Billion Vilardo, Lowe & Associates Team for "Inappropriate Workplace Behavior"" »

FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million

FINRA barred former UBS Financial Services and Morgan Stanley broker John Anthony Waszolek of Scottsdale, Arizona for appointing himself successor trustee and attempting to collect a multi-million ...
Continue reading "FINRA Bars John Anthony Waszolek for Improperly Appointing Himself Successor Trustee for Diminished Capacity Elder, Attempting to Inherit $1.8 Million" »

Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors

Three years after FINRA released an investor alert warning of frauds and scams perpetuated by brokers and financial advisers during "Free Lunch" investment seminars, a similar scheme has ...
Continue reading "Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors" »

FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint

Ascendiant Capital Markets, LLC of Irvine, California agreed to a fine of $20,000 FINRA imposed due to multiple failures and deficiencies, including inadequate supervisory procedures, failure to ...
Continue reading "FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint" »

Former JP Morgan Chase Banker Daniel Colon Barred for Taking Money from Customer

Upon finding that Daniel Ricardo Colon removed cash from a customer's wallet, JP Morgan Chase discharged the personal banker, purportedly drawing an admission out of Colon while investigating the ...
Continue reading "Former JP Morgan Chase Banker Daniel Colon Barred for Taking Money from Customer" »

Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert

FINRA issued a new Investor Alert regarding bond liquidity, providing investors with a basic overview on how bonds are bought and sold, and factors that may influence bond liquidity and its impact on ...
Continue reading "Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert" »

Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations

FINRA suspended former Wells Fargo Advisors broker Jeffrey David Daggett of Temecula, California and fined him $20,000 for unsuitable recommendations related to non-traditional (leveraged and inverse ...
Continue reading "Jeffrey David Daggett Fined & Suspended for Unsuitable ETN, Non-Traditional ETF Recommendations" »

Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors

Securities regulators in Massachusetts charged Securities America and advisor Barry Graham Armstrong with running a "grossly deceptive" radio campaign targeted at vulnerable senior citizens. ...
Continue reading "Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors" »

F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims

Barely seven months removed from agreeing to pay $35 million to settle charges it falsely portrayed the performance of its AlphaSector index, F-Squared Investments Inc. filed for bankruptcy protection ...
Continue reading "F-Squared Files for Bankruptcy in Wake of $35 Million Settlement Over False Performance Claims" »

FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors

FINRA will elect three members to its 24-member Board of Governors later this month, and one—Brian John Kovack of the firm Kovack Securities—says that, if elected, he plans not to ...
Continue reading "FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors" »

SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate

The SEC filed a complaint against former Aegis Capital broker Malcolm Segal for allegedly operating a five-year Ponzi scheme featuring sales of fraudulent bank CDs to over 50 customers. The SEC ...
Continue reading "SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate" »

Misappropriation Nets Broker Roderick Yzaguirre 10 Disclosures in 2 Months, Over $3.3 Million in Damages

After voluntarily resigning from the Ontario, California branch of Merrill Lynch with "employment separation after allegations" disclosure, SoCal broker Roderick Yzaguirre accumulated a ...
Continue reading "Misappropriation Nets Broker Roderick Yzaguirre 10 Disclosures in 2 Months, Over $3.3 Million in Damages" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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