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Blog Posts in September, 2016

Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley

FINRA barred former Raymond James & Associates (Beverly Hills, CA) and Morgan Stanley (Brea, CA) broker Alejandra Valenzuela for improperly converting funds from Morgan Stanley when she was ...
Continue reading "Alejandra Valenzuela Barred for Improper Conversion at Morgan Stanley" »

UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors

UBS Financial Services and the SEC reached agreement for the firm to pay $15 million to settle charges that it failed to supervise, educate, and train staff regarding complex products known as reverse ...
Continue reading "UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors" »

Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud

FINRA fined Avenir Financial Group $229,000, barred former CEO and Chief Compliance Officer Michael Todd Clements for fraud, and suspended registered rep Karim Ahmed Ibrahim (aka Chris Allen) for ...
Continue reading "Avenir Financial Group Sanctioned, CEO Michael Todd Clements Barred, Rep Karim Ibrahim Suspended for Fraud" »

George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies

FINRA barred former LPL Financial and Western International Securities broker George Anthony Zedan of Whittier, California for the improper use and conversion of an elderly customer's funds in ...
Continue reading "George Zedan Barred for Elder Abuse and Conversion of 87-Year-Old Customer's Funds, Escapes Prosecution when Victim Dies" »

John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm

FINRA fined former Securities Equity Group broker John Randall "Randy" Gladden of La Mesa, CA for soliciting several investors to collectively invest millions of dollars in securities sold ...
Continue reading "John Randall Gladden Disciplined for $2.1 Million in Unauthorized Private Securities Transactions Away from the Firm" »

Linda Dowd Disciplined over Pre-Signed Blank Distribution Request Forms, Personal E-mails

FINRA fined and suspended former WFG Investments broker Linda Dowd (aka Linda Trout, aka Linda Donnelly) for utilizing pre-signed distribution requests forms on multiple occasions to effectuate a ...
Continue reading "Linda Dowd Disciplined over Pre-Signed Blank Distribution Request Forms, Personal E-mails" »

Mauneel Desai Sanctioned for Opening New Accounts with Fake Information and Without Permission

FINRA fined and suspended Mauneel Desai, formerly of Edward Jones in Irvine, California, for creating new accounts using fake information for customers who had not agreed to open accounts with the ...
Continue reading "Mauneel Desai Sanctioned for Opening New Accounts with Fake Information and Without Permission" »

FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers

FINRA fined Ameriprise Financial Services, Inc. $850,000 for failing to supervise and detect former broker Justin Matthew Weseloh's conversion of funds from multiple customer brokerage accounts, ...
Continue reading "FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers" »

Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan

FINRA fined and suspended Cheryl Sue Kerber (née Cheryl Sue Holmes), formerly a broker at LPL Financial's San Diego, CA branch, for making false statements to the firm regarding a loan she ...
Continue reading "Ex-LPL Broker Cheryl Kerber Fined & Suspended for False Statements About a Loan" »

Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration

The Law Offices of Jonathan W. Evans & Associates is investigating possible claims that Wedbush Securities, Inc. broker William Mark Heiden (Newport Beach, California) mismanaged client accounts ...
Continue reading "Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration" »

Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations

FINRA barred former NEXT Financial Group and Berthel, Fisher & Co. Financial Services broker Jerry Dewayne McCutchen for refusing to cooperate with FINRA's investigation into customer ...
Continue reading "Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations" »

Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000

FINRA fined Ameriprise Financial Services $100,000 for failing to supervise ex-broker Michael Edward Halla's unsuitable short-term trading of IPO closed end funds (CEFs). The investigation notes ...
Continue reading "Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000" »
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