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Blog Posts in December, 2017

Ranking the 20 Worst Performing Mutual Funds by Lowest Return

In 2017, BankInvestmentConsultant ranked the 20 worst performing mutual funds by lowest percent return and found that all but three of the worst performers are in three natural resources sectors: ...
Continue reading "Ranking the 20 Worst Performing Mutual Funds by Lowest Return" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions

FINRA barred Menlo Park, CA broker Leslie Rhodes Koonce for falsely denying participation in private securities transactions while associated with LPL Financial in Northern California. Since being ...
Continue reading "Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions" »

Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses

FINRA barred Charles Henry Frieda and Charles Bernard Lynch, formerly of Wells Fargo Advisors and Wells Fargo Clearing Services in Irvine, California, finding that the duo unsuitably over-concentrated ...
Continue reading "Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses" »

Investors Capital Corporation Censured After 8 Years of Overcharging Customers for Mutual Fund Transactions

FINRA sanctioned Investors Capital Corporation for disadvantaging certain retirement plan and charity customers that were eligible for mutual fund sales charge waivers by failing to waive applicable ...
Continue reading "Investors Capital Corporation Censured After 8 Years of Overcharging Customers for Mutual Fund Transactions" »

FINRA Cites Ladenburg Thalmann's Investacorp for Failing to Apply Sales Charge Waivers

Ladenburgh Thalmann Financial Services subsidiary Investacorp, Inc. agreed to settle charges that it failed to apply front-end sales charge waivers to eligible retirement plan and charitable ...
Continue reading "FINRA Cites Ladenburg Thalmann's Investacorp for Failing to Apply Sales Charge Waivers" »

Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment

The Securities and Exchange Commission is investigating embattled California luxury real estate developer Woodbridge Group of Companies, LLC, with SEC officials claiming the company directly and ...
Continue reading "Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment" »

NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures

FINRA fined NEXT Financial Group, Inc. $750,000 for inadequate oversight and supervisory deficiencies related to excessive trading detection, failure to perform reviews, and additional compliance ...
Continue reading "NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures" »

Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments

FINRA fined and suspended Steven Quoy, of Spencer Edwards, Inc. in Centennial, Colorado, for distributing issuer-prepared sales materials to potential customers that were misleading, omitted material ...
Continue reading "Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments" »

Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account

FINRA fined and suspended Joseph Gunnar & Co. broker and managing director Anthony J Sica for making unsuitable recommendations to an elderly customer living on a fixed income, resulting in an ...
Continue reading "Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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