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Blog Posts in September, 2018

Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients

FINRA fined and suspended former Ameriprise Financial Services and Moors & Cabot, Inc broker Robert Charles Torcivia for improperly accepting and failing to disclose fiduciary and beneficiary ...
Continue reading "Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients" »

FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License

FINRA fined and suspended Southern California broker Ryan Alexander Logan, formerly of MML Investors Services in Newport Beach, for commission sharing with an unregistered person—his sales ...
Continue reading "FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License" »

UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis

For many investors with conservative-to-moderate risk tolerance looking for investment income, a so-called "passive fund" may often be the way to go: place money in low-cost products and ...
Continue reading "UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis" »

Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred

Former Benjamin & Jerold Brokerage representative Juergen received a permanent bar from the securities industry after failing to cooperate with a FINRA investigation into allegations that he made ...
Continue reading "Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred" »

Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation

FINRA barred former Stifel, Nicolaus & Company broker Stephen Thomas Hurtuk for failing to cooperate with an investigation into allegations that he made unsuitable recommendations to customers in ...
Continue reading "Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation" »

HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation

FINRA barred former HD Vest Investment Services brokers Jerry Davis Raines and Donna Lynn Barnard for failing to cooperate with staff investigating sales of promissory notes related to the Woodbridge ...
Continue reading "HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation" »

Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme

The Securities and Exchange Commission alleged Ladenburgh Thalmann Financial Services chairman and largest shareholder Phillip Frost and a handful of co-defendants with perpetrating a series of ...
Continue reading "Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme" »

Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations

FINRA fined and suspended former Wells Fargo Advisors Financial Networks broker Richard Stephen Hughes for instructing an elderly client to lie about the commissions charged in short-term trading unit ...
Continue reading "Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations" »

Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers

FINRA censured and sanctioned Lincoln Investment Planning, LLC for failing to apply available sales charge waivers to eligible retirement accounts and charitable organizations from 2011 through June ...
Continue reading "Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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