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 June, 2018

Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities

FINRA fined and suspended former RBC Capital (San Francisco, CA) broker Brian Sung Hyun aka Sung Chul Hyun for participating in a pair of cannabis and medical marijuana-related outside business ...
Continue reading "Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges

Having found that Wells Fargo Advisors' improper sales of complex financial products imposed "substantial costs" on the firm's retail customers while generating commissions for the ...
Continue reading "Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges" »

Online Investment Firm Betterment Fined $400,000 for Violating Customer Protection Rule

FINRA fined MTG LLC aka Betterment Securities $400,000 for robo-advisor branch Betterment LLC's failure to comply with FINRA and SEC rules, including the Customer Protection Rule that requires ...
Continue reading "Online Investment Firm Betterment Fined $400,000 for Violating Customer Protection Rule" »

FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs

Nearly six months after Colorado regulators sanctioned former Taylor Capital Management brokers Dennis Mitchell Farrah and Mark Gregory Raezer for selling Madyson Capital real estate investment trust ...
Continue reading "FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs" »

LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client

FINRA barred former LPL Financial (Fort Bragg, California) broker Bradley Everett Gardner for converting funds from an elderly client in 2017, purportedly accepting a personal check made payable to ...
Continue reading "LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client" »

Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation

After former Transamerica Financial Advisors (Covina, California) broker Atiq Urrehman Khan (aka Danial Khan) of Gardena, CA allegedly solicited firm customers to purchase "general securities ...
Continue reading "Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation" »

Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients

FINRA barred former CUNA Brokerage Services representative Stacy Elizabeth Cheney-Jamison, aka Stacy Edwards, Stacy Kuczynski, and Stacy Sang, for failing to cooperate with investigators during an ...
Continue reading "Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients" »

$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought

An InvestmentNews report suggests that the $1.2 billion Ponzi and fraud scheme the SEC in January charged Robert H Shapiro (Sherman Oaks, California, and Aspen, Colorado)'s Woodbridge Group of ...
Continue reading "$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought" »

John Douglas Wade Barred for Converting $100k from Bancorp Customers

FINRA barred John Douglas Wade of Buena Park, CA for converting more than $100,000 from two elderly clients at US Bancorp Investments, Inc., where Wade served as a broker from 2011 until his ...
Continue reading "John Douglas Wade Barred for Converting $100k from Bancorp Customers" »

Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds

Investors who lost money investing in LJM Partners Ltd and associated funds, including the LJM Preservation and Growth Fund (LJMAX, LJMCX, and LJMIX), may have been exposed to far too much risk and ...
Continue reading "Losses in LJM Partners' Funds Spotlight Suitability, Risk Management in Complex Mutual Funds" »

FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity

Over 20 years since Harold Francis "Harry" Couglar, most recently of Montage Securities in San Diego, allegedly effected his first securities transaction at an account held at a ...
Continue reading "FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity" »

Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts

The State of Arizona indicted former AXA Advisors, LLC broker Howard Milton Price III, charging him with three felonies, including fraud and theft, for allegedly stealing $475,000 from the IRA ...
Continue reading "Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts" »

Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client

FINRA barred former JP Morgan Securities representative Leona Lynn Parsons of the firm's Imperial Beach, California branch after she refused to cooperate with an industry investigation into the ...
Continue reading "Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client" »
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: