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Recent Posts in Certificates of Deposit Category

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 Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers

FINRA issued an investment alert regarding advertisements promoting high yield CDs that offer rates significantly higher than other bank products, warning investors that such an ad may instead be a ...
Continue reading "FINRA Issues Investment Alert for Bait-and-Switch Marketing Ploy Involving High-Yield CD Offers" »

SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate

The SEC filed a complaint against former Aegis Capital broker Malcolm Segal for allegedly operating a five-year Ponzi scheme featuring sales of fraudulent bank CDs to over 50 customers. The SEC ...
Continue reading "SEC Charges Malcolm Segal with $15m Ponzi Scheme Selling Fake CDs, Unrealistic Interest Rate" »

Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers

FINRA suspended Purshe Kaplan Sterling Investments broker Larry M. Phillips of Woodland Hills, California and ordered him to pay fines and restitutions totaling over $10,000 for overcharging certain ...
Continue reading "Larry M. Phillips Fined, Suspended, Restitution Ordered for Overcharging Customers" »

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: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

FINRA Issues Investment Alert Targeting High-Yield CD Scams

FINRA issued an investment alert warning investors of "too good to be true" certificates of deposit (CD) promotions promising substantially higher-than-average interest rates and yields. ...
Continue reading "FINRA Issues Investment Alert Targeting High-Yield CD Scams" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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