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Recent Posts in Compliance Category

204 results found. Viewing page 1 of 9. Go to page 1 2 3 4 5 6 7 8 9   Next

Nina Jessee Latest Cetera Advisors Broker Barred by FINRA

FINRA barred former Cetera Advisors broker Nina Sue Jessee for failing to cooperate into an investigation into an unauthorized outside business activity, capping off a file of 25 disclosures, a ...
Continue reading "Nina Jessee Latest Cetera Advisors Broker Barred by FINRA" »

Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading

FINRA sanctioned former Morgan Stanley and LPL Financial broker Ron Ray Willoughby aka Ronald Willoughby, presently with Kestra Investment Services in Venice, California, for engaging in short-term ...
Continue reading "Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading" »

Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse

A flurry of recent customer disputes filed against Southern California broker Mark Fred Augusta, formerly of Wedbush Securities in Solana Beach and presently of Hilltop Securities in Del Mar, CA, ...
Continue reading "Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse" »

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" »

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." »

Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards

FINRA barred former Merrill Lynch broker Kajo Movsesian of the firm's Glendale, CA branch after he refused to cooperate with an investigation into his departure from Merrill Lynch for what the ...
Continue reading "Kajo Movsesian Barred After Review into Conduct Inconsistent with Merrill Lynch Standards" »

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" »

Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures

FINRA sanctioned Voya Financial Advisors for failing to apply front-end sales charge discounts to eligible retirement plan and charitable organization customers who purchased Class A shares in certain ...
Continue reading "Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures" »

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" »

Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study

On the heels of FINRA's January 2019 complaint charging former Wedbush Securities broker William Mark Heiden of Southern California with unauthorized trading in elderly clients' brokerage ...
Continue reading "Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study" »

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" »

Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud

One year after the SEC barred ex-Merrill Lynch and RBC Capital broker Thomas Joseph Buck from the securities industry (and three years after FINRA barred him for the same), a federal judge sentenced ...
Continue reading "Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud" »

Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital

FINRA fined and suspended Thomas Edward Burns III for a series of errors on Alternative Investment Forms while at Crown Capital Securities (Orange, CA) that resulted in customer complaints and caused ...
Continue reading "Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital" »

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" »

LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided

Shortly after FINRA barred former LPL Financial broker Christopher Joseph Lossing for failing to cooperate with its investigation, we're learning why Lossing was in trouble to begin with, as LPL ...
Continue reading "LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided" »

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" »
204 results found. Viewing page 1 of 9. Go to page 1 2 3 4 5 6 7 8 9   Next
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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