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Recent Posts in Cold Calls Category

Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy

Former Newbridge Securities Corp. broker Gerald "Jerry" John Cocuzzo pleaded guilty in federal court to securities fraud and a $131 million market manipulation scheme involving ForceField ...
Continue reading "Gerald Cocuzzo Pleads Guilty to Securities Fraud in $131 Million Market Manipulation Scheme of ForceField Energy" »

Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

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" »

Private Placement Offerings Require Research and Contemplation of Risk

FINRA issued an investor alert Tuesday regarding private placements and the risks inherent in such securities. The private placement alert warns of the dangers of investing in such non-public ...
Continue reading "Private Placement Offerings Require Research and Contemplation of Risk" »

FINRA Alert: Beware Cold Calls from Brokerage Firm Imposters, New Phishing Schemes

FINRA issued an Investor Alert on August 6, 2013, warning investors of unsolicited or "cold" telephone calls from persons professing to represent an investment firm. It warns that the person ...
Continue reading "FINRA Alert: Beware Cold Calls from Brokerage Firm Imposters, New Phishing Schemes" »
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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.
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