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Recent Posts in Bonds Category

27 results found. Viewing page 1 of 2. Go to page 1 2   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." »

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" »

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" »

Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints

FINRA barred former RBC Capital Markets and Janey Montgomery Scott representative Lisa Jacqueline Lowi (Lisa Vineberg) after she failed to cooperate with an investigation concerning customer ...
Continue reading "Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints" »

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" »

FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer

FINRA permanently barred Kim Dee Isaacson (Morgan Stanley of Salt Lake City and Ameriprise Financial of Midvale, Utah) from the securities industry after finding that Isaacson engaged in fraudulent ...
Continue reading "FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer" »

Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades

FINRA barred former Morgan Stanley Smith Barney broker John Batista Bocchino for hiding $190 million in Venezuelan bond trades from the firm by directing the trades through several nominee accounts ...
Continue reading "Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades" »

Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration

The Law Offices of Jonathan W. Evans & Associates is investigating possible claims that Wedbush Securities, Inc. broker William Mark Heiden (Newport Beach, California) mismanaged client accounts ...
Continue reading "Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration" »

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" »

FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct

FINRA is cracking down at firms such as Global Arena Capital Corp. which hire troubled brokers who move from one risky firm to another. The practice, known as "cockroaching" or "broker ...
Continue reading "FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct" »

Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert

FINRA issued a new Investor Alert regarding bond liquidity, providing investors with a basic overview on how bonds are bought and sold, and factors that may influence bond liquidity and its impact on ...
Continue reading "Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert" »

Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds

FINRA fined, suspended and ordered former Edward Jones broker Dalas Lee Gundersen of Willows, California to pay disgorgement for ill-gotten commissions related to an unsuitable investment ...
Continue reading "Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds" »

High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst

With crude oil prices falling below $50 a barrel, high yield oil stocks are becoming more and more susceptible to a meltdown triggered by oil prices that have plunged by over 50% since 2014's ...
Continue reading "High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
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FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams

FINRA announced its Business Conduct Priorities for 2014 on Thursday, leading off with the issue of suitability of recommendations for complex products. In its discussion about suitability, FINRA ...
Continue reading "FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams" »

Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors

The SEC charged trader Gary C. Snisky with defrauding elderly investors by soliciting investments in government-secured agency bonds and then using the invested funds for personal and business ...
Continue reading "Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors" »

Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names

The SEC acknowledged concern about fund names, releasing a guidance update advising investment companies, firms, and issuers against using misleading terminology when naming mutual funds, namely and ...
Continue reading "Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names" »

FINRA: Volatile Interest Rates Are Next Major Threat to Investment Portfolios

FINRA is warning securities industry stakeholders of volatile interest rates, which the regulatory authority proclaims is the "next major threat" to industry customers. Citing securities ...
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Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients

In his analysis of the modern Wall Street wirehouse, Focus Financial Partners CEO Rudy Adolf concludes that large, full-service brokerages have inflated prices and manufactured fees to support their ...
Continue reading "Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

Morgan Stanley Fined $1 Million, Ordered to Pay $188,000 in Restitution for Bond Pricing Failure

FINRA fined Morgan Stanley $1 million and ordered the firm pay $188,000 in restitution to customers the industry says were adversely impacted by Morgan Stanley's failure to conduct adequate due ...
Continue reading "Morgan Stanley Fined $1 Million, Ordered to Pay $188,000 in Restitution for Bond Pricing Failure" »

FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market

FINRA Monday announced an accelerated effort to "significantly" increase transparency in Fannie Mae-, Freddie Mac- and Ginnie-Mae issued mortgage-backed securities through the Trade ...
Continue reading "FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market" »

StateTrust Investments, Joseph Turnes Fined $1 Million, Ordered to Pay $353,000 in Restitution for Unfair Bond Prices

FINRA fined StateTrust Investments, Inc. and head trader Joseph Luis Turnes for charging unfair prices to customers in the firm's bond sales, failure to report transactions, making material ...
Continue reading "StateTrust Investments, Joseph Turnes Fined $1 Million, Ordered to Pay $353,000 in Restitution for Unfair Bond Prices" »

FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors

On May 21, 2013, FINRA chairman and CEO Richard Ketchum praised firms' overall improvement in increasing compliance with industry rules, but stated there is still work to be done. Specifically, ...
Continue reading "FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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