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Blog Posts in February, 2018

SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation

The SEC charged Strong Investment Management and owner Joseph Brian Bronson of Yorba Linda, California with defrauding customers from 2012 through 2016, utilizing an illicit discretionary trading ...
Continue reading "SEC Charges Joseph Bronson's Strong Investment Management with Cherry Picking Fraud, Misrepresentation" »

Darrell Rideaux Barred During Investigation into Selling Away Allegations

FINRA barred Southern California broker Darrell Walter Rideaux following an investigation into allegations that he solicited private placement investments away from Morgan Stanley, his firm at the ...
Continue reading "Darrell Rideaux Barred During Investigation into Selling Away Allegations" »

Credit Suisse Execs Had Secretaries Complete Training for Them, Records Show

The latest wrinkle in the VelocityShares Daily Inverse VIX Short-Term exchange traded note's fall from grace concerns its issuer, Credit Suisse, and regulatory filings that several firm executives ...
Continue reading "Credit Suisse Execs Had Secretaries Complete Training for Them, Records Show" »

Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs

February's stock market turbulence unearthed risk inherent in so-called volatility funds, which are tied to how stable or unstable the markets are. For example, although Credit Suisse's ...
Continue reading "Volatility Funds Take a Dive - VelocityShares, ProShares VIX Round Out Worst Performing Volatility ETPs" »

Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy

Massachusetts' Securities Division charged Scottrade, Inc. for violations of the federal fiduciary duty rule's impartial conduct provision, alleging that the firm engaged in dishonest and ...
Continue reading "Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy" »

Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages

Already under fire for dishonest and unethical practices, an InvestmentNews report suggests that Newbridge Securities Corp could be the subject of several dozen investor complaints from Philadelphia ...
Continue reading "Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages" »

SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales

Deutsche Bank Securities agreed to pay $4.45 million, including nearly $1.5 in disgorgement, to settle SEC charges that the firm's compliance and supervisory failures caused customers to overpay ...
Continue reading "SEC Fines Deutsche Bank Securities $4.45 Million for Misleading Mortgage-Backed Securities Sales" »

Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck

SEC officials barred former Merrill Lynch and RBC Capital broker Thomas Joseph Buck, who pleaded guilty to overcharging clients in October and was previously barred by FINRA in 2015. The SEC in ...
Continue reading "Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck" »

Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures

FINRA fined Los Angeles-headquartered brokerage Wedbush Securities Inc $1.5 million for supervisory failures and for violating the SEC's customer protection and net capital rules. FINRA wrote that ...
Continue reading "Wedbush Fined $1.5 Million Over Customer Protection and Supervisory Failures" »

Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls

After losing 95% of its value in early February, issuer Credit Suisse announced plans to liquidate VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV), capping off a rough ...
Continue reading "Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls" »

FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge

A CNBC report traced the source Wall Street's recent rout—including a single-day Dow Jones loss of over 1,000 points—in part, to volatility-linked exchange-traded notes (ETNs) that ...
Continue reading "FINRA Warned of Volatility-Linked ETNs Before February Stock Market Plunge" »

Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds

While Automotive News portrayed GPB Capital Holdings' success in the auto dealership investment market in the July 2017 article, " GPB Thrives Under The Radar, " GPB filed a lawsuit just ...
Continue reading "Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds" »

SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint

After originally charging Ash Narayan of Newport Coast, California and The Ticket Reserve, Inc. in a multi-million dollar fraud scheme targeting prominent sports stars that investigators say resembled ...
Continue reading "SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint" »
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