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 Cockroach Culture Category

Andrew Mandell Barred for Refusing to Appear During Investigation

FINRA barred Andrew Jason Mandell, formerly of Network 1 Financial Securities in Oakland and Olympus Securities of New York, for refusing to cooperate with a FINRA investigation into potential ...
Continue reading "Andrew Mandell Barred for Refusing to Appear During Investigation" »

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" »

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" »

FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin

FINRA released its annual regulatory and examination priorities letter for 2018, highlighting several points of emphasis for the regulator in the new year. Key in this list are sales practice concerns ...
Continue reading "FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin" »

Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives

FINRA barred former Ameriprise Financial and Wedbush Securities broker Larry Martin Boggs for excessively and unsuitably trading five elderly customers' accounts while associated with Amerprise of ...
Continue reading "Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements

FINRA charged former Legend Equities broker Walter Joseph Marino with recommending unsuitable variable annuity replacements that benefitted him to the tune of $60,000 in commissions while his ...
Continue reading "Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements" »

2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity

In its annual Regulatory and Examination Priorities Letter for 2017, FINRA revealed several observations from the past year regarding areas of weakness and recommendations on how to strengthen or ...
Continue reading "2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity" »

Former ACAP AML Compliance Officer Gary Hume Barred for Improper Unregistered Penny Stock Liquidation

FINRA barred former ACAP Financial Inc. (Salt Lake City, Utah) Anti-Money Laundering Compliance Officer, Gary Hume, in facilitating the liquidation of over 3.3 billion unregistered penny stock shares ...
Continue reading "Former ACAP AML Compliance Officer Gary Hume Barred for Improper Unregistered Penny Stock Liquidation" »

Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations

18 months after ordering Oppenheimer & Co. Inc. to pay $2.5 million in fines and $1.25m in restitution for failing to supervise ex-rep Mark Christopher Hotton, FINRA once again has sanctioned ...
Continue reading "Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations" »

FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account

FINRA barred former LPL Financial broker Dominic Thomas DeBruin of the firm's Mesa, Arizona branch for failing to cooperate with an investigation into undisclosed private securities transactions ...
Continue reading "FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account" »

Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow

FINRA filed a complaint against former Liberty Partners Financial Services (Bakersfield, CA) and Legend Securities (New York) broker Henry "Hank" Mark Werner alleging securities fraud for ...
Continue reading "Hank Werner Charged with Fraudulent Churning, Excessive Trading, Unsuitable VA Recommendation Against Elderly, Blind Widow" »

Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend

This month, the Massachusetts Securities Division sent a message to several hundred brokerages with above-average numbers of representatives with at least one misconduct report on their records: Firms ...
Continue reading "Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend" »
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: