California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog

Categories

legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Blog Posts in May, 2015

JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice

JPMorgan Chase & Co., Citigroup Inc., Barclays Plc and Royal Bank of Scotland Plc (RBS), admitted to guilt in a criminal antitrust charge related to the spot foreign exchange (FX or FOREX) ...
Continue reading "JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice" »

Bradley Claus Barred for Misrepresentation, Unauthorized Oil & Gas and Restaurant Investment Solicitations and Transactions

FINRA barred ex-Transamerica Financial broker Bradley Claus of Greenwood Village, Colorado for soliciting investments in an oil and gas venture that had not been approved by the firm, and subsequently ...
Continue reading "Bradley Claus Barred for Misrepresentation, Unauthorized Oil & Gas and Restaurant Investment Solicitations and Transactions" »

FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million

A complaint filed by FINRA's Department of Enforcement charged the Arizona-based Scottsdale Capital Advisors Corporation and brokers John J. Hurry, Timothy B. Diblasi and D. Michael Cruz with ...
Continue reading "FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million" »

Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations

FINRA fined Morgan Stanley & Co. LLC a total of $2 million for a six-year-long period of violations related to short sales and short interest reporting. Investigators wrote that the problem ...
Continue reading "Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations" »

SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors

The SEC filed a complaint against Christopher A. Novinger and Brady J. Speers of the NFS Group, LLC (aka Novers Financial and Safe Retirement Experts), ICAN Investment Group, LLC, and Speers Financial ...
Continue reading "SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors" »

Raymond Daniel Schmidt Barred After Borrowing $2.25 Million from LPL Financial Clients

FINRA barred former LPL Financial broker Raymond Daniel Schmidt of Oceanside, California for borrowing a total of $2.25 million from multiple clients to build a house in Hawaii without informing his ...
Continue reading "Raymond Daniel Schmidt Barred After Borrowing $2.25 Million from LPL Financial Clients" »

SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations

The Securities & Exchange Commission along with other regulators are looking into JPMorgan Chase & Co.'s use of proprietary products according to filings submitted by the firm to the SEC. ...
Continue reading "SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations" »

FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products

In a decision citing 'widespread' supervisory failures, FINRA censured and ordered LPL Financial LLC to pay $11.7 million in fines and restitution for a series of supervisory failures across ...
Continue reading "FINRA Sanctions LPL Financial $11.7 Million for Major Supervisory Failures in ETF, REIT and VA Products" »

James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme

The US District Court for the Southern District of California sentenced former La Jolla broker James Yiu Lee to 6.5 years in prison and ordered restitution in excess of $10.5 million for losses ...
Continue reading "James Yiu Lee Sentenced to 6.5 Years in Prison, Ordered to Repay $10.5 Million in Fraudulent Scheme" »

Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers

FINRA suspended Purshe Kaplan Sterling Investments broker Larry M. Phillips of Woodland Hills, California and ordered him to pay fines and restitutions totaling over $10,000 for overcharging certain ...
Continue reading "Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers" »
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: