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Blog Posts in February, 2019

John Spach Barred for Trying to Settle Complaint Away from Firm

FINRA barred former Kestra Investment Services (Aliso Viejo, CA) broker John William Spach after he settled a customer dispute away from the firm and refused to cooperate with a subsequent ...
Continue reading "John Spach Barred for Trying to Settle Complaint Away from Firm" »

Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud

One year after the SEC barred ex-Merrill Lynch and RBC Capital broker Thomas Joseph Buck from the securities industry (and three years after FINRA barred him for the same), a federal judge sentenced ...
Continue reading "Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud" »

Michael Rappa Barred for $2.7 Million-worth of Woodbridge Ponzi Transactions

FINRA barred Foresters Equity Services (San Diego, CA) broker Michael John Rappa for soliciting investors to purchase promissory notes of Woodbridge Group of Companies and related real estate ...
Continue reading "Michael Rappa Barred for $2.7 Million-worth of Woodbridge Ponzi Transactions" »

20 Worst Bond Fund Returns of 2018 Feature Debt & Emerging Market Funds

Most of the 20 worst performing fixed-income funds in 2018 had three things in common: first, they trended toward significant holdings in corporate debt. Second, the funds held an average expense ...
Continue reading "20 Worst Bond Fund Returns of 2018 Feature Debt & Emerging Market Funds" »

Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital

FINRA fined and suspended Thomas Edward Burns III for a series of errors on Alternative Investment Forms while at Crown Capital Securities (Orange, CA) that resulted in customer complaints and caused ...
Continue reading "Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital" »

Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study

A recent InvestmentNews editorial illustrates that broker-dealers may still be liable for the actions of its brokers, even if the rogue broker sells away from the firm or otherwise engages non-clients ...
Continue reading "Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study" »

FINRA Charges Raymond James', Amerprise's Vincent Storms with Falsifying Reports to Prevent OBA Audit Follow-Up

FINRA filed a complaint alleging that former Raymond James and Ameriprise Financial Services broker Vincent Joseph Storms falsified data submitted to Raymond James related to branch audits, causing ...
Continue reading "FINRA Charges Raymond James', Amerprise's Vincent Storms with Falsifying Reports to Prevent OBA Audit Follow-Up" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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