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, 2019

Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements

FINRA barred former Cetera Advisors broker George Craig Merhoff after he refused to cooperate with Enforcement's investigation into allegations he made undisclosed payments to customers. In 2017, ...
Continue reading "Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements" »

Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products

A new report from InvestmentNews contends that GPB Capital arranged to pay its broker-dealers and representatives tens of millions of dollars in high-priced commissions in exchange for having its reps ...
Continue reading "Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products" »

FINRA Fines Edward Jones for Underreporting Complaints, Damages

After finding that Edward D. Jones & Co failed to report the full extent of customer complaints and claimed damages from 2016-2018, FINRA censured and fined the firm $40,000, writing that Edward ...
Continue reading "FINRA Fines Edward Jones for Underreporting Complaints, Damages" »

Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs

The Securities and Exchange Commission fined Wedbush Securities of Los Angeles $8.1 million, including disgorgement, interest, and civil penalties, as part of a crackdown of the firm's improper ...
Continue reading "Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs" »

Facing $14 Million Complaint, Morgan Stanley of Los Angeles Terminates Kerry M Moy over Inaccurate OBA Info

After Morgan Stanley of Los Angeles discharged Southern California broker Kerry M Moy based on allegations regarding Moy's submission of inaccurate information for business expenses, inaccurate ...
Continue reading "Facing $14 Million Complaint, Morgan Stanley of Los Angeles Terminates Kerry M Moy over Inaccurate OBA Info" »

Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client

FINRA barred former Merrill Lynch (Ontario, California) broker Patrick Neal Foley for refusing to cooperate with an investigation into allegations he accepted loans from an elderly Merrill Lynch ...
Continue reading "Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client" »

Barred San Diego Broker Harry Couglar Suspended by CFP Board

After FINRA barred former Montage Securities (San Diego, CA) broker Harold Francis Couglar for unauthorized and undisclosed outside business activities in 2018, the Certified Financial Planner Board ...
Continue reading "Barred San Diego Broker Harry Couglar Suspended by CFP Board" »

Cryptocurrency Business Places Kyung Soo Kim in Hot Water

FINRA sanctioned former Merrill Lynch broker Kyung Soo Kim in June 2019 for engaging in an outside business activity related to digital currency without providing prior written notice to the firm. ...
Continue reading "Cryptocurrency Business Places Kyung Soo Kim in Hot Water" »

Nina Jessee Latest Cetera Advisors Broker Barred by FINRA

FINRA barred former Cetera Advisors broker Nina Sue Jessee for failing to cooperate into an investigation into an unauthorized outside business activity, capping off a file of 25 disclosures, a ...
Continue reading "Nina Jessee Latest Cetera Advisors Broker Barred by FINRA" »

Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading

FINRA sanctioned former Morgan Stanley and LPL Financial broker Ron Ray Willoughby aka Ronald Willoughby, presently with Kestra Investment Services in Venice, California, for engaging in short-term ...
Continue reading "Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading" »
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: