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Blog Posts in May, 2019

Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse

A flurry of recent customer disputes filed against Southern California broker Mark Fred Augusta, formerly of Wedbush Securities in Solana Beach and presently of Hilltop Securities in Del Mar, CA, ...
Continue reading "Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse" »

FINRA Sanctions Steven Cooper for Unsuitable Share Class Conversions

Broker Steven Paul Cooper, formerly of UBS Financial Services' Century City, CA branch, consented to FINRA's findings that he recommended and made a series of unsuitable mutual fund trades in ...
Continue reading "FINRA Sanctions Steven Cooper for Unsuitable Share Class Conversions" »

Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.

On May 6, 2019, the Law Offices of Jonathan W. Evans & Associates filed a Statement of Claim and Demand for Arbitration against Western International Securities, Inc. and its former broker Dennis ...
Continue reading "Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr." »

Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions

FINRA fined and suspended broker Michael Milad Tanha, formerly of Merrill Lynch in Beverly Hills, CA, for engaging in undisclosed outside business activities and participating in private securities ...
Continue reading "Michael ("Mikey") Tanha Cited for Outside Business Activities, Private Securities Transactions" »

Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards

FINRA barred former Merrill Lynch broker Kajo Movsesian of the firm's Glendale, CA branch after he refused to cooperate with an investigation into his departure from Merrill Lynch for what the ...
Continue reading "Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards" »

Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address

FINRA fined and suspended Jamie Silber Bennett, CCO of Silber Bennett Financial of Encino, California, for failing to review or capture representative e-mails. The investigation found that Bennett ...
Continue reading "Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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