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Recent Posts in Communications Category

168 results found. Viewing page 1 of 7. Go to page 1 2 3 4 5 6 7   Next

FINRA Sanctions Steven Cooper for Unsuitable Share Class Conversions

Broker Steven Paul Cooper, formerly of UBS Financial Services' Century City, CA branch, consented to FINRA's findings that he recommended and made a series of unsuitable mutual fund trades in ...
Continue reading "FINRA Sanctions Steven Cooper for Unsuitable Share Class Conversions" »

Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address

FINRA fined and suspended Jamie Silber Bennett, CCO of Silber Bennett Financial of Encino, California, for failing to review or capture representative e-mails. The investigation found that Bennett ...
Continue reading "Jamie Bennett Sanctioned for Failing to Review E-mails, Use of Outside E-mail Address" »

John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales

FINRA fined and suspended former Foresters Equity Services (San Diego, CA) broker John Dale Ernst for engaging in undisclosed and unapproved private securities transactions in soliciting investors to ...
Continue reading "John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales" »

Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct

FINRA barred Frederick David Holloway of Holloway & Associates, Inc for improperly recommending unsuitable variable annuities (VA) exchanges to at least 39 clients, earning over $214,000 in ...
Continue reading "Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct" »

FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations

In December 2018, FINRA's year-end Examination Findings Report FINRA identified five problems with industry-wide variable annuity sales related to how firms recommend these funds to customers. ...
Continue reading "FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations" »

Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct

FINRA sanctioned Glendale Securities, Inc. and brokers George Alberto Castillo, Paul Eric Flesche, and Albert Raymond Laubenstein of the firm's Sherman Oaks, California branch, and Huanwei Huang ...
Continue reading "Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct" »

Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations

FINRA barred former Mutual of Omaha financial adviser Edward Earl "Ed" Matthes after he failed to cooperate with an investigation into allegations he misappropriated funds from clients and ...
Continue reading "Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations" »

Ranking the 20 Large-Cap Mutual Funds and ETFs with the Worst One-Year Returns

Citing market turbulence, Financial Planning identified vulnerability in once-reliable large-cap funds and compiled a list of the 20 worst-performing large-cap mutual funds and ETFs, including ...
Continue reading "Ranking the 20 Large-Cap Mutual Funds and ETFs with the Worst One-Year Returns" »

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" »

Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients

Finding that Southern California investment adviser Craig Arsenault defrauded customers while associated with Atlas Capital Management, SEC staff barred Arsenault, writing that Arsenault committed his ...
Continue reading "Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients" »

NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar

After a FINRA OHO hearing panel barred Amerprise Financial Services broker Jim Jinkook Seol ( CRD #2876279 ) of the firm's Irvine, CA branch for selling away from the firm by soliciting $100 ...
Continue reading "NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar" »

Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud

The SEC censured and ordered Wedbush Securities to pay a $250,000 penalty for failing to supervise broker Timary Delorme in Wedbush's Los Angeles office. In the twilight of her 40-year career with ...
Continue reading "Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud" »

Emanuel Avina Sanctioned for Impersonating Ameriprise Customers

FINRA fined and suspended former Ameriprise Financial Services broker Emanuel Omar Avina for impersonating several customers out of Ameriprise's City of Industry, California branch in phone calls ...
Continue reading "Emanuel Avina Sanctioned for Impersonating Ameriprise Customers" »

John Spach Barred for Trying to Settle Complaint Away from Firm

FINRA barred former Kestra Investment Services (Aliso Viejo, CA) broker John William Spach after he settled a customer dispute away from the firm and refused to cooperate with a subsequent ...
Continue reading "John Spach Barred for Trying to Settle Complaint Away from Firm" »

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" »

FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final

After FINRA barred former NMS Capital Securities (Beverly Hills, California) brokers Arthur Mansourian, Trevor Michael Saliba, Richard Daniel Tabizon (all Southern California), and Sperry Randall ...
Continue reading "FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final" »

Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents

FINRA fined and suspended former Edward Jones and Waddell & Reed broker Donald Logan for exercising 365 discretionary trades in 42 customer accounts from 2014 through 2018, all without ...
Continue reading "Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents" »

Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme

FINRA barred former Mutual Securities Inc. (Sacramento, CA) broker Gary Lyle Pevey for selling $1.11 million in Woodbridge promissory notes to 15 investors. Woodbridge is the name of the real estate- ...
Continue reading "Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme" »

Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading

FINRA fined El Segundo, CA-headquartered Cetera Advisor Networks $1.4 million for a handful of violations and failures regarding broker Mark Charles Koehler's unsuitable and excessive trading of ...
Continue reading "Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading" »

SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme

FINRA-registered brokers Alan Harold New co-owner of Synergy Investment Services and Jeffrey L Wendel, formerly of Center Street Securities and Wendel Investment Network headline a list of 11 ...
Continue reading "SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme" »

FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations

FINRA's 2018 year-end Examination Findings Report identified several problem areas in the securities industry relative to broker and firm interactions with retail investors, including ...
Continue reading "FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations" »

Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses

FINRA barred former Financial West Group (Los Angeles, CA) broker Sean J Waters for excessive trading in his elderly client's individual and IRA accounts with reckless disregard for his senior ...
Continue reading "Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses" »

Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme

FINRA barred broker Frank Roland Dietrich for his participation in a massive $1.2 billion Ponzi scheme related to investments in the Woodbridge Group of Companies, disciplining the former Quest ...
Continue reading "Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme" »

Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity

FINRA fined and suspended former JP Morgan (Culver City and Santa Monica, CA branches) broker Hector Villalta for engaging in an outside business activity without prior written notice to or approval ...
Continue reading "Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity" »

San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

FINRA barred former National Securities Corporation (San Diego) broker Kyle Patrick Harrington for allegedly trying to obstruct FINRA and firm investigations into allegations that he converted ...
Continue reading "San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations" »
168 results found. Viewing page 1 of 7. Go to page 1 2 3 4 5 6 7   Next
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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