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 Arbitration Category

56 results found. Viewing page 1 of 3. Go to page 1 2 3   Next

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." »

Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)

In the wake of severe industry losses at the hands of volatility virus XIV, Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note, UBS' Yield Enhancement Strategy ...
Continue reading "Investors Seeking to Recover Losses from Unsuitable UBS' Yield Enhancement Strategy (YES)" »

Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study

On the heels of FINRA's January 2019 complaint charging former Wedbush Securities broker William Mark Heiden of Southern California with unauthorized trading in elderly clients' brokerage ...
Continue reading "Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study" »

Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds

The Law Offices of Jonathan W. Evans & Associates is investigating FINRA broker Dennis Albert Mehringer Jr., formerly of Western International Securities in Pasadena, California, for ...
Continue reading "Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds" »

Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study

A recent InvestmentNews editorial illustrates that broker-dealers may still be liable for the actions of its brokers, even if the rogue broker sells away from the firm or otherwise engages non-clients ...
Continue reading "Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study" »

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

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" »

Michael Gilhooly Barred for Refusal to Appear during Investigation

FINRA barred Michael James Gilhooly, formerly of RJJ Pasadena Securities of South Pasadena, California, for refusing to appear for on-the-record testimony during an investigation into whether Gilhooly ...
Continue reading "Michael Gilhooly Barred for Refusal to Appear during Investigation" »

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" »

FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations

FINRA awarded a married couple $800,000 after an arbitration panel found Oppenheimer & Co. negligent in recommending these customers invest in energy stocks, including Breitburn Energy Partners, ...
Continue reading "FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations" »

Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints

FINRA announced it will consider customer-initiated disputes as part of its disciplinary process when sanctioning brokers for misconduct, writing that brokers with a pattern of causing harm may expect ...
Continue reading "Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints" »

Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities

LPL Financial reached settlement with the North American State Securities Administrators Association (NASAA) to pay nearly $26 million in fines and penalties for selling unregistered securities not ...
Continue reading "Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities" »

In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation

Months after serving a suspension and paying fines and disgorgment to settle charges that he unsuitably recommended mutual funds in a customer's IRA account, FINRA barred former Westpark Capital, ...
Continue reading "In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation" »

SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme

Having issued southern California broker Timary Ann Delorme aka Timary Kennally Koller a cease-and-desist order and ordering $50,000 in civil penalties for her involvement in Izak Zirk Engelbrecht aka ...
Continue reading "SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme" »

David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award

FINRA barred former Madison Avenue Securities (San Diego, CA) broker David Lloyd Barber after finding he exercised discretion and effected unauthorized trades in customer accounts. The bar follows a ...
Continue reading "David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award" »

Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley

FINRA fined and suspended Kevin Chiagan Yang, formerly of Morgan Stanley's Pasadena, CA branch, for exercising discretion without written authorization. The disciplinary action follows several ...
Continue reading "Saddled with Settlements, Kevin Yang Sanctioned for Unauthorized Discretion at Morgan Stanley" »

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" »

JP Morgan's Farid Morim Barred After Conversion Investigation

FINRA barred Farid Morim, formerly Vice President of JP Morgan's Beverly Hills, California branch, after a lengthy investigation into allegations that Morim converted customer assets and engaged ...
Continue reading "JP Morgan's Farid Morim Barred After Conversion Investigation" »

Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule

Structured products, including reverse convertibles—fee-based, fixed income products—can pose supervisory challenges for firms. When it comes to matters of suitability, as evidenced by a ...
Continue reading "Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule" »

Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment

For over two decades, Merrill Lynch has attempted to limit customer rights and/or evade state laws best suited toward consumer protection through using choice-of-law provisions, inserted in customer ...
Continue reading "Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment" »

Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses

FINRA barred Charles Henry Frieda and Charles Bernard Lynch, formerly of Wells Fargo Advisors and Wells Fargo Clearing Services in Irvine, California, finding that the duo unsuitably over-concentrated ...
Continue reading "Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses" »

FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity

In 2016, FINRA opened an investigation into former JP Morgan (Beverly Hills, CA) Vice President Farid Morim's alleged conversion of customer assets and alleged engagement in undisclosed outside ...
Continue reading "FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity" »

Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds

A FINRA arbitration panel ordered former Los Angeles-area broker Li-Lin Hsu of Ameriprise Financial Services to pay $675,000 in damages to her former employer, Ameriprise. The award is unusual as it ...
Continue reading "Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds" »

Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients

FINRA suspended former Citigroup Global Markets, Merrill Lynch, and Fidelity Brokerage Services rep Mehran Tazhibi aka Ron Tazhibi of Northern California for unsuitably recommending that two retirees ...
Continue reading "Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients" »
56 results found. Viewing page 1 of 3. Go to page 1 2 3   Next
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: