California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Blog Posts in 2018

144 results found. Viewing page 1 of 6. Go to page 1 2 3 4 5 6   Next

Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading

FINRA fined El Segundo, CA-headquartered Cetera Advisor Networks $1.4 million for a handful of violations and failures regarding broker Mark Charles Koehler's unsuitable and excessive trading of ...
Continue reading "Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading" »

SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme

FINRA-registered brokers Alan Harold New co-owner of Synergy Investment Services and Jeffrey L Wendel, formerly of Center Street Securities and Wendel Investment Network headline a list of 11 ...
Continue reading "SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme" »

FINRA and SEC Launch Investigation of GPB Capital Holdings

Two months after Massachusetts regulator William Galvin began investigating GPB over its illiquid, high-risk, and high-commission alternative investment sales, FINRA and SEC personnel have taken up ...
Continue reading "FINRA and SEC Launch Investigation of GPB Capital Holdings" »

Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization

FINRA fined and suspended former Wells Fargo Clearing Services (Carlsbad, CA) broker Annemarie Thomas aka Anne Marie Seeman for her role in facilitating a $100,000 wire transfer by falsely stating the ...
Continue reading "Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization" »

Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018

The 2018 list of worst performing mutual funds and ETFs features several funds in the emerging and international markets sector, as well as securities related to gold, energy, and natural resources. A ...
Continue reading "Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018" »

FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations

FINRA's 2018 year-end Examination Findings Report identified several problem areas in the securities industry relative to broker and firm interactions with retail investors, including ...
Continue reading "FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations" »

Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit

FINRA barred former MML Investors Services (Irvine, CA) broker Nicholas Randolph Radke after he failed to cooperate with an investigation into allegations that he participated in a private securities ...
Continue reading "Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit" »

Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses

FINRA barred former Financial West Group (Los Angeles, CA) broker Sean J Waters for excessive trading in his elderly client's individual and IRA accounts with reckless disregard for his senior ...
Continue reading "Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses" »

Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme

FINRA barred broker Frank Roland Dietrich for his participation in a massive $1.2 billion Ponzi scheme related to investments in the Woodbridge Group of Companies, disciplining the former Quest ...
Continue reading "Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme" »

Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity

FINRA fined and suspended former JP Morgan (Culver City and Santa Monica, CA branches) broker Hector Villalta for engaging in an outside business activity without prior written notice to or approval ...
Continue reading "Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity" »

San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

FINRA barred former National Securities Corporation (San Diego) broker Kyle Patrick Harrington for allegedly trying to obstruct FINRA and firm investigations into allegations that he converted ...
Continue reading "San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations" »

Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother

After Chino, California police arrested Robert Lee Basile for stealing $130,000 from his elderly mother's brokerage account, FINRA barred the former Waddell & Reed and Park Avenue Securities ...
Continue reading "Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother" »

Michael Scott Livermore Sanctioned for Failing to Report Felonies

Michael Scott Livermore's 23-year career with Merrill Lynch in Stockton, California came to an abrupt end earlier this year when the firm discharged him for failing to timely disclose reportable ...
Continue reading "Michael Scott Livermore Sanctioned for Failing to Report Felonies" »

Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions

FINRA fined Luke Andrew Powell for participating in private securities transactions totaling $350,000 without providing proper written notice to his firm, Flying Cloud Securities of San Francisco, ...
Continue reading "Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions" »

Morningstar's List of 20 Worst Performing Active Mutual Funds

Using Morningstar Direct data, Financial-Planning released a list of the 20 worst-performing actively managed mutual funds in the industry over the past three years, finding that a combination of high ...
Continue reading "Morningstar's List of 20 Worst Performing Active Mutual Funds" »

Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies

FINRA fined and suspended Michael Eugene Heath, formerly of First Allied Securities of Ladera Ranch, California, for using an unapproved, personal e-mail account to communicate with customers about ...
Continue reading "Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies" »

LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud

The US District Court for Colorado sentenced former LPL Financial representative Sonya Delora Camarco to 20 years in prison for stealing several millions of dollars from clients between 2013 and 2017 ...
Continue reading "LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud" »

David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation

FINRA barred former Signator Investors Inc. broker David Carl Ferwerda for failing to cooperate with its investigation into the $1.2 billion Ponzi scheme concerning the Woodbridge Group of Companies, ...
Continue reading "David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation" »

Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm

FINRA fined and suspended Intrepid Investment Bankers LLC (Los Angeles, CA) Senior Managing Director and President W Michael Rosenberg for failing to timely disclose new investment accounts he opened ...
Continue reading "Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm" »

John Simoncic Barred for Churning Retirement Accounts with VIX ETF

FINRA barred John Scott Simoncic, formerly of Financial West Group (Reno, Nevada and San Diego, California) and Securities America (Solana Beach, CA), for churning customer accounts, engaging in ...
Continue reading "John Simoncic Barred for Churning Retirement Accounts with VIX ETF" »

SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme

The Securities and Exchange Commissioner barred San Diego's Paul Thomas Rampoldi from acting as a broker, several months after Rampoldi's conviction in US District Court for the Southern ...
Continue reading "SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme" »

Andrew Mandell Barred for Refusing to Appear During Investigation

FINRA barred Andrew Jason Mandell, formerly of Network 1 Financial Securities in Oakland and Olympus Securities of New York, for refusing to cooperate with a FINRA investigation into potential ...
Continue reading "Andrew Mandell Barred for Refusing to Appear During Investigation" »

Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting

FINRA fined and suspended Joshua Robert Jones, formerly of JP Morgan Securities' Santa Monica branch, for transferring funds from an outside account to his personal bank account and onto a check ...
Continue reading "Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting" »

Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial

FINRA barred Charla Cynthia Kabana after she refused to cooperate with an investigation into the circumstances surrounding her termination from LPL Financial of Huntington Beach, CA, in which the firm ...
Continue reading "Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial" »

Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers

FINRA fined and suspended John-Aaron Lenhert, formerly of Morgan Stanley in Laguna Niguel, California, for borrowing funds from multiple customers without approval and for related misrepresentations, ...
Continue reading "Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers" »
144 results found. Viewing page 1 of 6. Go to page 1 2 3 4 5 6   Next
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: