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Blog Posts in November, 2016

VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities

FINRA fined VALIC Financial Advisors, Inc. a total of $1.75 million for filing to detect and address certain conflict of interest situations related to variable annuity (VA) ...
Continue reading "VALIC Financial Advisors Fined $1.75 Million for Conflict of Interest, Supervisory Failures Related to Variable Annuities" »

Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments

FINRA censured and fined VFG Securities, Inc. and additionally suspended VFG (Vanclef Financial Group) CEO Jason Bryce Vanclef of Culver City, CA, for making inaccurate and misleading claims ...
Continue reading "Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments" »

Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations

18 months after ordering Oppenheimer & Co. Inc. to pay $2.5 million in fines and $1.25m in restitution for failing to supervise ex-rep Mark Christopher Hotton, FINRA once again has sanctioned ...
Continue reading "Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations" »

John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer

FINRA barred John Stuart Hudnall, formerly of U.S. Bancorp Investments and BancWest Investment Services' San Francisco, California branches, for participating in an undisclosed and unapproved ...
Continue reading "John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer" »

FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account

FINRA barred former LPL Financial broker Dominic Thomas DeBruin of the firm's Mesa, Arizona branch for failing to cooperate with an investigation into undisclosed private securities transactions ...
Continue reading "FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account" »

Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy

Former Newbridge Securities Corp. broker Gerald "Jerry" John Cocuzzo pleaded guilty in federal court to securities fraud and a $131 million market manipulation scheme involving ForceField ...
Continue reading "Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy" »

Stanley Niekras Accused of Misrepresentation, Billing Elderly Clients for $70,000-worth in Fabricated Fees

FINRA filed a complaint against former Purshe Kaplan Sterling Investments and MML Investors Services, LLC adviser Stanley Clayton Niekras for allegedly billing two elderly customers for more than ...
Continue reading "Stanley Niekras Accused of Misrepresentation, Billing Elderly Clients for $70,000-worth in Fabricated Fees" »

Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct

Former Colorado Financial Service Corporation (whose branch is located in Carlsbad, California) broker Tracy Rae Turner allegedly participated in unapproved private securities transactions related to ...
Continue reading "Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct" »

Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures

FINRA fined eight firms a total of $6.2 million for failing to supervise sales of variable annuities (VAs). In addition to fining the firms, which include five broker-dealer subsidiaries of Cetera ...
Continue reading "Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures" »

Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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