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Recent Posts in Alternative Investments Category

37 results found. Viewing page 1 of 2. Go to page 1 2   Next

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" »

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" »

FINRA and SEC Launch Investigation of GPB Capital Holdings

Two months after Massachusetts regulator William Galvin began investigating GPB over its illiquid, high-risk, and high-commission alternative investment sales, FINRA and SEC personnel have taken up ...
Continue reading "FINRA and SEC Launch Investigation of GPB Capital Holdings" »

Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions

FINRA fined Luke Andrew Powell for participating in private securities transactions totaling $350,000 without providing proper written notice to his firm, Flying Cloud Securities of San Francisco, ...
Continue reading "Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions" »

Compliance Officer Claims Retaliation in Firing from Purshe Kaplan Sterling After Reporting Alt Investment Red Flags to FINRA

Former Purshe Kaplan Sterling Investments, Inc. compliance officer Toni Caiazzo Neff filed a lawsuit against her former employer, claiming that Purshe Kaplan fired her after she contacted a senior ...
Continue reading "Compliance Officer Claims Retaliation in Firing from Purshe Kaplan Sterling After Reporting Alt Investment Red Flags to FINRA" »

Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms

Massachusetts Secretary of the Commonwealth and chief securities regulator William Galvin announced a state investigation of private placement sales and related sales practices at 10 broker-dealers ...
Continue reading "Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations

Wells Fargo announced its Board of Directors is reviewing whether the firm made inappropriate referrals or recommendations in regards to 401(k) plan participants, alternative investments, or other ...
Continue reading "Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations" »

Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing

With Wells Fargo's credit card and savings divisions already disciplined by the Federal Reserve over a fake account scandal during which the bank opened bogus accounts on behalf of its customers, ...
Continue reading "Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing" »

DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations

Wells Fargo began an investigation into potentially inappropriate referrals and recommendations after the Department of Justice ordered the firm to conduct a review of its sales practices, including ...
Continue reading "DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations" »

Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds

While Automotive News portrayed GPB Capital Holdings' success in the auto dealership investment market in the July 2017 article, " GPB Thrives Under The Radar, " GPB filed a lawsuit just ...
Continue reading "Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments

FINRA censured and fined VFG Securities, Inc. and additionally suspended VFG (Vanclef Financial Group) CEO Jason Bryce Vanclef of Culver City, CA, for making inaccurate and misleading claims ...
Continue reading "Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments" »

John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer

FINRA barred John Stuart Hudnall, formerly of U.S. Bancorp Investments and BancWest Investment Services' San Francisco, California branches, for participating in an undisclosed and unapproved ...
Continue reading "John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer" »

JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice

With the SEC's recent issuance of a Wells Notice against the troubled Texas real estate investment trust (REIT) known as United Development Funding IV, or UDF IV, combined with NASDAQ's ...
Continue reading "JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice" »

Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations

FINRA barred former NEXT Financial Group and Berthel, Fisher & Co. Financial Services broker Jerry Dewayne McCutchen for refusing to cooperate with FINRA's investigation into customer ...
Continue reading "Jerry McCutchen Barred in Connection with Over 20 Customer Complaints Alleging REIT & Alt Investment Unsuitability, Misrepresentations" »

Larry LaBine Barred for Fraudulent Domin-8 Senior Debenture Software & Unsuitable Real Estate (REIT) Sales to Elderly Investors

FINRA barred former Newbridge Securities Corporation and DeWaay Financial Network LLC broker Lawrence Michael LaBine of Scottsdale, Arizona for a series of fraudulent misrepresentations, unsuitable ...
Continue reading "Larry LaBine Barred for Fraudulent Domin-8 Senior Debenture Software & Unsuitable Real Estate (REIT) Sales to Elderly Investors" »

WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales

The SEC fined WFG Advisors $100,000 for overcharging clients in alternative investments, including REITs and BDCs due to inadequate policies and procedures to prevent overcharging. SEC Proceeding ...
Continue reading "WFG Advisors Fined, Censured $100k for Overcharging Customers in Alt Investment, REIT Sales" »

FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms

The FINRA Securities Helpline for Seniors program, founded in April 2015, produced its first year-end report, in which the helpline described the unique concerns and threats facing senior investors ...
Continue reading "FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms" »

2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products

2016 FINRA Priorities Letter Includes Culture and Ethics, Suitability, Seniors, Complex Products FINRA released its 2016 Regulatory and Examination Priorities Letter in which the regulator specified a ...
Continue reading "2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

Securities-Based Lending, Alt Funds Catch FINRA's Eye in 2015

Investors borrowing against the value of their portfolios—also known as securities lending—caught FINRA's attention in its annual Regulatory and Examinations Priorities Letter for ...
Continue reading "Securities-Based Lending, Alt Funds Catch FINRA's Eye in 2015" »

Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error

Fidelity, Pershin and Schwab have stopped investing in Nicholas Schorsch's American Realty Capital Properties, Inc. nontraded REITs, joining the National Planning Holdings Inc. broker-dealer ...
Continue reading "Fidelity, Pershing, Schwab Latest Firms to Suspend Schorsch REIT Sales over $23m Error" »

Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales

The Realty Capital Securities " accounting error " that saw Nicholas Schorsch's company reveal an allegedly deliberate $23 million inaccuracy in reporting—an error that represents ...
Continue reading "Massachusetts Regulator Investigating Schorsch's Realty Capital Securities, REIT Sales" »

Cetera Financial Group Broker-Dealer Network Suspends Some Nicholas Schorsch REITs

The Cetera Financial Group network suspended sales of Nicholas Schorsch's American Realty Capital Properties Inc. REIT, which owns Cole Capital Partners and Cole Capital Advisors, Inc. Schorsch is ...
Continue reading "Cetera Financial Group Broker-Dealer Network Suspends Some Nicholas Schorsch REITs" »
37 results found. Viewing page 1 of 2. Go to page 1 2   Next
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