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Blog Posts in January, 2017

Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts

After finding that Citigroup Global Markets overbilled clients over a 15-year period, the SEC reached agreement with the firm to pay $18.3 million to settle the charges of overbilling and an ...
Continue reading "Citigroup to Pay $18 Million for Overbilling Clients, Misplacing Decades-Worth of Client Contracts" »

New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"

The complex product known as a variable annuity has become a little more complicated with the introduction of a new type of VA known as a buffer annuity. Buffers, like conventional VAs, are highly ...
Continue reading "New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"" »

Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints

FINRA fined Citizens Securities, Inc. $300,000 for disclosure failures related to customer complaints and other reportable events concerning its registered representatives, and for failing to ...
Continue reading "Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints" »

Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities

FINRA fined and suspended former Questar Capital Corporation (Westminster, CA) and Client One Securities (Garden Grove) broker Tommy Huy Mai for allegedly forging or causing forgery of at least 19 ...
Continue reading "Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities" »

Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts

FINRA filed a complaint alleging that former Financial West Group (San Francisco) and Paulson Investment Company (Novato, CA) broker Kelly Clayton Althar made unsuitable recommendations and ...
Continue reading "Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts" »

2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity

In its annual Regulatory and Examination Priorities Letter for 2017, FINRA revealed several observations from the past year regarding areas of weakness and recommendations on how to strengthen or ...
Continue reading "2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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