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 Arbitrators Category

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" »

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" »

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" »

Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry

Eight months after The Law Offices of Jonathan W. Evans & Associates filed an arbitration claim against Newport Coast Securities over a multitude of misconduct, including elder abuse; negligence; ...
Continue reading "Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry" »

FINRA Considering New Fund for Unpaid Arbitration Awards

FINRA is looking into creating a new relief fund specifically for unpaid arbitration awards, a board member stating "it's being worked on" in an interview with Financial Planning. The ...
Continue reading "FINRA Considering New Fund for Unpaid Arbitration Awards" »

Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages

After barring adviser former MAM Securities, Inc. representative and MAM Wealth Management, LLC investment adviser Rafael R. Sanchez of Sherman Oaks, California for engaging in unethical conduct ...
Continue reading "Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages" »

Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration

A FINRA arbitrator's arrest and subsequent indictment led to an industry policy change while simultaneously highlighting the great importance of adequate due diligence when it comes to ...
Continue reading "Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration" »
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: