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Blog Posts in August, 2016

Larry LaBine Barred for Fraudulent Domin-8 Senior Debenture Software & Unsuitable Real Estate (REIT) Sales to Elderly Investors

FINRA barred former Newbridge Securities Corporation and DeWaay Financial Network LLC broker Lawrence Michael LaBine of Scottsdale, Arizona for a series of fraudulent misrepresentations, unsuitable ...
Continue reading "Larry LaBine Barred for Fraudulent Domin-8 Senior Debenture Software & Unsuitable Real Estate (REIT) Sales to Elderly Investors" »

Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading

A complaint filed against Christopher Basile Ariola, formerly of Bay Mutual Financial in Santa Monica and Financial Telesis, Inc. of Aliso Viejo, California, accuses the SoCal broker of making a ...
Continue reading "Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading" »

SEC Fines 13 Firm $2.2 Million for Repeating False ETF Claims by F-Squared Investments

The SEC ordered 13 advisory firms to pay a total of $2.2 million for spreading false claims initially made by F-Squared Investments related to exchange-traded fund (ETF) performance. In its report, ...
Continue reading "SEC Fines 13 Firm $2.2 Million for Repeating False ETF Claims by F-Squared Investments" »

Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation

FINRA barred Eric William Kuchel, formerly of LPL Financial LLC and Crown Capital Securities, LP (both in Brea, California) for failing to cooperate with an investigation related to certain mutual ...
Continue reading "Ex-LPL Financial & Crown Capital Broker Eric Kuchel Barred After Failing to Cooperate with Mutual Fund Investigation" »

$150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing

A former Morgan Stanley 401(k) plan participant filed a lawsuit against the firm, alleging that its 401(k) retirement plan featured excessively high fees and self-dealing on Morgan Stanley's part. ...
Continue reading "$150 Million Lawsuit Against Morgan Stanley Alleges Excessive 401(k) Retirement Plan Fees, Self-Dealing" »

Morgan Stanley to Pay $4.7 Million for Failure to Supervise Broker's Unauthorized Trading, Settlement to Include Dimes-on-the-Dollar Payment to Burned Clients

Mississippi's Securities Division reached a settlement with Morgan Stanley over a multi-year investigation into the firm's trading activity in customer accounts without their knowledge or ...
Continue reading "Morgan Stanley to Pay $4.7 Million for Failure to Supervise Broker's Unauthorized Trading, Settlement to Include Dimes-on-the-Dollar Payment to Burned Clients" »

Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry

Eight months after The Law Offices of Jonathan W. Evans & Associates filed an arbitration claim against Newport Coast Securities over a multitude of misconduct, including elder abuse; negligence; ...
Continue reading "Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry" »

Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions

Industry wide, non-traded real estate investment trust (REIT) sales are falling significantly due to widespread legal and regulatory issues, according to an Investment News report. For instance, sales ...
Continue reading "Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions" »

Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse

FINRA fined, suspended, and ordered restitution of former Edward Jones (Paradise, CA) and Raymond James (Chico, CA) broker Ciro "Nick" Gilbert Cavazos for borrowing money from a client in ...
Continue reading "Ciro "Nick" Cavazos Fined, Suspended for Unauthorized, Undisclosed Loan; Accused of Fraud & Financial Elder Abuse" »

Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow

FINRA filed a complaint against former Liberty Partners Financial Services (Bakersfield, CA) and Legend Securities (New York) broker Henry "Hank" Mark Werner alleging securities fraud for ...
Continue reading "Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow" »

SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm

FINRA barred former Independent Financial Group broker Brian James Egan of the firm's Laguna Niguel, CA branch for failing to disclose 87 outside brokerage accounts he either owned, controlled, or ...
Continue reading "SoCal Broker Brian Egan Barred for Failing to Disclose 87 Brokerage Accounts at an Outside Firm" »

Ex-California Broker Daniel McKelvey Pleads Guilty in Fraudulent Shell Corporation Penny Stock Scheme

Daniel Patrick McKelvey of Foster City, California pleaded guilty to conspiracy to commit securities fraud, a charge filed by the US Attorney's Office in collaboration with the FBI and SEC, and in ...
Continue reading "Ex-California Broker Daniel McKelvey Pleads Guilty in Fraudulent Shell Corporation Penny Stock Scheme" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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