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

Categories

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 April, 2018

Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name

Having listed cryptocurrency in its 2018 Regulatory and Examination Priorities Letter, FINRA sanctioned broker Arthur Robert Meunier-Breitman, formerly of Morgan Stanley, for violations related to ...
Continue reading "Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name" »

Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations

Wells Fargo announced its Board of Directors is reviewing whether the firm made inappropriate referrals or recommendations in regards to 401(k) plan participants, alternative investments, or other ...
Continue reading "Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations" »

OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final

An appealed disciplinary decision barring Richard Daniel Tabizon II of Rosemead, California from the securities industry became final, affirming FINRA's decision to expel Tabizon for directing a ...
Continue reading "OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final" »

Complaint Charges Charles Laverty with Unauthorized $1.3 Million Loan from Elderly Couple, Failure to Repay, and Related False Statements

FINRA Enforcement filed a complaint against Southern California broker Charles Acheson Laverty, alleging that while associated with a series of Orange and Riverside County firms, he improperly ...
Continue reading "Complaint Charges Charles Laverty with Unauthorized $1.3 Million Loan from Elderly Couple, Failure to Repay, and Related False Statements" »

FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients

FBI agents arrested former Ameriprise Financial Services representative Li Lin Hsu of Diamond Bar, California and charged her with mail fraud, wire fraud, obstruction of justice, and money laundering. ...
Continue reading "FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients" »

Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security

FINRA suspended Jonathan Russell Belden, formerly a broker at Merrill Lynch's Oakland branch, for effecting at least 200 discretionary trades in client accounts without written permission to do ...
Continue reading "Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security" »

Dallas York Barred for Refusing to Cooperate with Investigation into Unauthorized Withdrawal of Customer Funds

FINRA barred former Wells Fargo Clearing Services broker Dallas Richardson York of Arizona after he failed to provide requested information and documents to FINRA during the course of an investigation ...
Continue reading "Dallas York Barred for Refusing to Cooperate with Investigation into Unauthorized Withdrawal of Customer Funds" »

Kevin J Lee Barred Following Investigation into Undisclosed Business Activity

FINRA barred Kevin James Lee, formerly of Martin Nelson & Co, Inc. in Lake Oswego, Oregon, for failing to provide requested documents and information in connection with FINRA's investigation ...
Continue reading "Kevin J Lee Barred Following Investigation into Undisclosed Business Activity" »

Park Avenue Securities Fined $300,000 in Variable Annuities Supervision Investigation

FINRA censured and fined Park Avenue Securities $300,000 for failing to adequately supervise variable annuity (VA) exchanges, including VA contracts and multi-share class VAs, finding that the ...
Continue reading "Park Avenue Securities Fined $300,000 in Variable Annuities Supervision Investigation" »

Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi

FINRA fined and suspended former LPL Financial (Orem, UT) broker Brent Van Lott for purportedly facilitating a non-registered individual, Steven Heinz, in effecting variable annuities (VA) and mutual ...
Continue reading "Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi" »

Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing

With Wells Fargo's credit card and savings divisions already disciplined by the Federal Reserve over a fake account scandal during which the bank opened bogus accounts on behalf of its customers, ...
Continue reading "Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing" »

Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills

FINRA barred former LPL Financial principal Laura Ortega Shean aka Laura Ortega Provost of Medford, Oregon, after finding that she converted $124,000 in customer funds to pay her personal tax bills. ...
Continue reading "Laura Ortega Shean Barred for Converting $124,000 in Client Funds to Pay Personal Tax Bills" »

In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation

Months after serving a suspension and paying fines and disgorgment to settle charges that he unsuitably recommended mutual funds in a customer's IRA account, FINRA barred former Westpark Capital, ...
Continue reading "In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation" »
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: