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Blog Posts in January, 2016

Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern

As sales of high yield and highly speculative products continue to increase, it is important for brokers to remember FINRA's rules for proper sales practices concerning suitability, factual ...
Continue reading "Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern" »

Robert Richards Fined and Suspended Over Penny Stock Price Manipulation

FINRA suspended broker Robert E. Richards for allegedly aiding and abetting the price manipulation of the Fibrocell Science, Inc. penny stock by a trader at former FINRA-member firm John Carris ...
Continue reading "Robert Richards Fined and Suspended Over Penny Stock Price Manipulation" »

10 High-Yield Bond Funds Posting Largest Negative Returns Over Past Year

The inconsistent market, made unstable from interest rate uncertainty and global volatility, has proven especially chaotic for high-yield bond funds, many of which suffered outsized losses over the ...
Continue reading "10 High-Yield Bond Funds Posting Largest Negative Returns Over Past Year" »

Former LPL Broker Timothy Richard Yee Fined & Suspended for Unapproved Outside Transactions

FINRA suspended former LPL Financial broker Timothy Richard Yee of Northern California for participating in private securities transactions using personal funds and for soliciting three LPL customers ...
Continue reading "Former LPL Broker Timothy Richard Yee Fined & Suspended for Unapproved Outside Transactions" »

Irvine's Finance 500 Fined $400k, Multiple Brokers Banned over Penny Stock Sales

FINRA fined brokerage firm Finance 500, Inc. (Irvine, CA) $400,000 and barred a number of its former brokers over AML, supervisory, and other violations pertaining to failures in penny stock sales, ...
Continue reading "Irvine's Finance 500 Fined $400k, Multiple Brokers Banned over Penny Stock Sales" »

FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms

The FINRA Securities Helpline for Seniors program, founded in April 2015, produced its first year-end report, in which the helpline described the unique concerns and threats facing senior investors ...
Continue reading "FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms" »

Michael Nahass Fined & Suspended for Undisclosed Outside Business, False Representations

FINRA suspended former Arque Capital, Ltd (Irvine, CA) broker Michael "Mike" Alexander Nahass and fined him $15,000 for engaging in undisclosed outside business activities from 2009 through ...
Continue reading "Michael Nahass Fined & Suspended for Undisclosed Outside Business, False Representations" »

2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products

2016 FINRA Priorities Letter Includes Culture and Ethics, Suitability, Seniors, Complex Products FINRA released its 2016 Regulatory and Examination Priorities Letter in which the regulator specified a ...
Continue reading "2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products" »

LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client

The New Hampshire Bureau of Securities Regulation ordered LPL Financial to pay $750,000 over allegations that the firm failed to provide adequate supervision when it sold non-traded real estate ...
Continue reading "LPL Financial Ordered to Pay $750k for Improper REIT Sales to Elderly Client" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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