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
Broker Misrepresentation
Brokerage Firms Sued
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Are you a new client?
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.

Emanuel Avina Sanctioned for Impersonating Ameriprise Customers

FINRA fined and suspended former Ameriprise Financial Services broker Emanuel Omar Avina for impersonating several customers out of Ameriprise's City of Industry, California branch in phone calls to the firm's customer service center to direct the firm to transfer money out of Ameriprise and into Avina's new investment firm, Purshe Kaplan Sterling Investments of Santa Ana, CA.

AWC #2017054932701

The findings state that after his termination from Ameriprise in 2017, stockbroker Avina (CRD #5403314) impersonated six customers in eight telephone calls to the Amerprise customer service center, the purpose of which was to transfer money out of some customers' accounts and to request information for others' accounts.

According to FINRA, some of the customers were not aware of stock broker Avina's impersonation in calls to his ex-firm's service center and did not authorize Avina to impersonate them. Investigators found that Avina impersonated the customers in order to request account number and deposit information for the customer, request copies of deposited checks, request securities liquidation paperwork for securities held by the customer, direct the liquidation of these securities, and direct the disbursement of proceeds from customers' accounts by check or by wire transfer to the customer.

FINRA concluded that by impersonating clients, especially when done without the customer's knowledge or consent, Avina, whose file lists Avina Financial Group and Avina Insurance Services of Whittier as an additional business activities, failed to adhere to an industry rule concerning commercial honor and just/equitable principles of trade.

If you have invested with Southern California broker Emanuel Omar Avina or with any representative or adviser who has impersonated you or otherwise acted in a way that has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

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.