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.

Recent Posts in Advertising Category

San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

FINRA barred former National Securities Corporation (San Diego) broker Kyle Patrick Harrington for allegedly trying to obstruct FINRA and firm investigations into allegations that he converted ...
Continue reading "San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations" »

FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms

In a video segment, A Few Minutes with FINRA, Executive Vice President and Head of FINRA Member Regulation Mike Rufino introduced the regulator's High-Risk Registered Representative Program, in ...
Continue reading "FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms" »

Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments

FINRA fined and suspended Steven Quoy, of Spencer Edwards, Inc. in Centennial, Colorado, for distributing issuer-prepared sales materials to potential customers that were misleading, omitted material ...
Continue reading "Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments" »

Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities

FINRA fined and suspended former Questar Capital Corporation (Westminster, CA) and Client One Securities (Garden Grove) broker Tommy Huy Mai for allegedly forging or causing forgery of at least 19 ...
Continue reading "Tommy Mai Sanctioned for Forging Customer Signatures, Running a Misleading Los Angeles-area TV Show That Discussed Securities" »

FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations

FINRA filed a complaint against BrokerBank Securities, Inc. and Chief Executive & Compliance Officer Philip Paul Wright for issuing "hundreds" of misleading press releases in violation ...
Continue reading "FINRA Files Complaint Against BrokerBank, Alleging Misleading Press Releases & Recommendations" »

Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures

FINRA suspended northern California broker Alfred Kai Kwong Chan and fined him $10,000 for improperly selling over 100 indexed annuities valued at $2.5 million without properly disclosing the sales to ...
Continue reading "Alfred Chan Fined & Suspended for Unauthorized Indexed Annuities Sales, REIT Risk Disclosure Failures" »

Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors

Three years after FINRA released an investor alert warning of frauds and scams perpetuated by brokers and financial advisers during "Free Lunch" investment seminars, a similar scheme has ...
Continue reading "Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors" »

Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors

Securities regulators in Massachusetts charged Securities America and advisor Barry Graham Armstrong with running a "grossly deceptive" radio campaign targeted at vulnerable senior citizens. ...
Continue reading "Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors" »
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: