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Blog Posts in June, 2017

Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy

FINRA fined and suspended former Edward Jones and Raymond James Financial Services broker Mitchell Glenn Behm of Colorado for taking a $180,000 loan from an elderly customer at the firm in order to ...
Continue reading "Mitchell Behm Sanctioned for Unauthorized $180,000 Loan, Failure to Disclose Prior Bankruptcy" »

Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms

FINRA fined and suspended former Accelerated Capital Group (Irvine, CA) broker Sam Dexter Legaspi for maintaining a repository of blank forms in his office, which contained pre-filled customer ...
Continue reading "Sammy Legaspi Sanctioned for Using, Photocopying Pre-Signed Signed Blank Forms" »

Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client

FINRA fined and suspended Todd Joseph Pilosi, formerly of RBC Capital Markets and LPL Financial's Fresno, CA branches for borrowing a total of $150,000 from a customer of his. AWC #2016051455601 ...
Continue reading "Former LPL Financial (Fresno) Broker Todd Pilosi Punished for Borrowing Money From Client" »

Complaint Charges Kyle Harrington, Linda Milberger with Deception, Conversion, Concealment, Selling Away

FINRA filed a complaint against former National Securities Corporation (San Diego, CA) broker Kyle Patrick Harrington and assistant Linda Milberger accusing the duo of concealing Harrington's ...
Continue reading "Complaint Charges Kyle Harrington, Linda Milberger with Deception, Conversion, Concealment, Selling Away" »

FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme

An extended hearing panel charged with investigating allegations that Scottsdale Capital Advisors Corp. (Scottsdale, Arizona) and three top associates engaged in $1.7 million-worth of illegal microcap ...
Continue reading "FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme" »

Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account

FINRA fined and suspended former Voya Financial Advisors and MetLife Securities representative Jose J Perez for directing his assistant to impersonate a customer in order to effect a transfer of ...
Continue reading "Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account" »

Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse

FINRA barred former Centaurus Financial Inc. (Fullerton, CA) and Independent Financial Group (Brea, CA) broker Calvin Edward Moores after he failed to cooperate with an investigation into allegations ...
Continue reading "Ex-IFG and Centaurus Broker Calvin Moores Barred After FINRA Investigation, OTC Dispute Alleging Fraud, Complaint Alleging Elder Abuse" »

Christopher M. Hawn Fined & Suspended for Unauthorized Private Securities Transactions & Undisclosed Outside Business Activities

FINRA suspended former ALPS Distributors, Inc. (Denver, Colorado) broker Christopher M Hawn and fined him $10,000 for participating in unauthorized private securities transactions, an undisclosed ...
Continue reading "Christopher M. Hawn Fined & Suspended for Unauthorized Private Securities Transactions & Undisclosed Outside Business Activities" »

Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account

FINRA charged former Morgan Stanley and present Ameriprise Financial broker Kim Dee Isaacson with making fraudulent misrepresentations and omissions of material facts to an elderly client regarding ...
Continue reading "Kim Dee Isaacson Charged with Fraudulent Misrepresentations, Unauthorized Transactions in Elderly Client's Account" »

FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds

Former Sterne, Agee & Leach, Inc. and Stifel Nicolaus & Co. broker James Keith Cox consented to FINRA's findings that he made unsuitable recommendations regarding variable annuity (VA) ...
Continue reading "FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds" »

Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program

FINRA barred former Ameriprise Financial (Irvine, CA) broker Jim Jinkook Seol of Lake Forest for participating in $100 million-worth of private securities transactions and outside business activities ...
Continue reading "Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program" »

Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering

After defrauding clients out of $1.1 million by pretending to invest in a real estate investment trust (REIT) and gold coins—including one terminally ill customer whose primary objective was to ...
Continue reading "Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering" »

Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme

FINRA suspended former Red Ridge Securities CEO and Chief Compliance Officer Brent David Hurt for failing to supervise broker Eric William Johnson, whom FINRA barred for misappropriating over $1 ...
Continue reading "Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme" »

Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades

FINRA barred former Morgan Stanley Smith Barney broker John Batista Bocchino for hiding $190 million in Venezuelan bond trades from the firm by directing the trades through several nominee accounts ...
Continue reading "Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades" »
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