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Blog Posts in July, 2018

National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct

FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII Investments, and IFC Holdings aka INVEST Financial Corporation—a total of $1.7 million and ordered ...
Continue reading "National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct" »

FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations

FINRA fined Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, and Woodbury Financial a total of $1 million for failing to establish and maintain adequate supervisory systems ...
Continue reading "FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations" »

Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme

The Securities and Exchange Commission, in a civil complaint, charged Midtown Partners broker Kevin Patrick Gillespie and four others in a series of microcap fraud schemes that netted more than $10 ...
Continue reading "Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme" »

Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018

InvestmentNews compiled a list of the 10 funds that saw the largest losses over the first half of 2018, citing volatility as the biggest story thus far this year. For instance, a slew of ...
Continue reading "Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018" »

Michael Gilhooly Barred for Refusal to Appear during Investigation

FINRA barred Michael James Gilhooly, formerly of RJJ Pasadena Securities of South Pasadena, California, for refusing to appear for on-the-record testimony during an investigation into whether Gilhooly ...
Continue reading "Michael Gilhooly Barred for Refusal to Appear during Investigation" »

FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations

FINRA barred former Financial West Group and Western International Securities (both Los Angeles, California) broker Paul Edward Soll for refusing to cooperate with an investigation involving trading ...
Continue reading "FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations" »

Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds

FINRA fined Cetera Financial Specialists $200,000 for supervisory deficiencies concerning its broker Alex P Anderson, whom FINRA previously barred for purportedly abusing his Power of Attorney ...
Continue reading "Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds" »

IFG's Dennis Contrestano Cited for Unauthorized Transactions at Prior Firm RBC

FINRA fined and suspended Independent Financial Group (Fresno, CA) broker Dennis Anthony Contrestano for a series of unauthorized transactions while associated with prior firm RBC Capital, also of ...
Continue reading "IFG's Dennis Contrestano Cited for Unauthorized Transactions at Prior Firm RBC" »

After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP

With a pending SEC fraud charge to his name, FINRA barred Robert Russel "Rusty" Tweed of Glendale, California from the securities industry, finding he negligently made false and misleading ...
Continue reading "After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP" »

Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm

FINRA barred former Geneos Wealth Management (Mesa, AZ) broker Bradley Joseph Tennison in connection with an investigation into recommending a customer wire $300,000 to an investment away from the ...
Continue reading "Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm" »

Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms

Massachusetts Secretary of the Commonwealth and chief securities regulator William Galvin announced a state investigation of private placement sales and related sales practices at 10 broker-dealers ...
Continue reading "Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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