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Recent Posts in Confidentiality Category

National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct

FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII Investments, and IFC Holdings aka INVEST Financial Corporation—a total of $1.7 million and ordered ...
Continue reading "National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct" »

Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations

FINRA fined, suspended, and ordered former ACE Diversified Capital of Los Angeles representative Omer Ozeren to pay restitution to clients whose accounts he allegedly traded on a discretionary basis ...
Continue reading "Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations" »

Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading

A FINRA hearing panel barred broker Henry "Hank" Mark Werner for fraudulently churning an account held by a 77-year-old blind widow, resulting in hundreds of thousands of dollars of ...
Continue reading "Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading" »

Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties

FINRA fined and suspended Stephen "Steve" Samuel Salm of Securities America's Solana Beach, California branch for disclosing personal information about customers to a nonaffiliated third ...
Continue reading "Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties" »

E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info

FINRA fined E*Trade Securities, LLC $900,000 and censured the firm for multiple violations related to its assessment and review practices concerning customer orders, further finding that the firm ...
Continue reading "E*Trade Securities Censured, Fined $900k for Trade Review & Supervisory Failures, Failure to Ensure Protection of Confidential Info" »

Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information

FINRA suspended Steven Robert Tomlinson and fined him $10,000 for allegedly downloading confidential, personal and non-public information belonging to customers of his prior employing firm. Tomlinson, ...
Continue reading "Steven Robert Tomlinson Fined & Suspended for Downloading Confidential Customer Information" »

Jay Sheldon Potter Jr. Fined & Suspended for Confidentially Settling Complaint without Informing Firm

FINRA suspended San Diego's Jay Sheldon Potter, Jr. through June 16, 2014, and fined him $10,000 after Potter allegedly failed to disclose a customer's complaint against him and settled the ...
Continue reading "Jay Sheldon Potter Jr. Fined & Suspended for Confidentially Settling Complaint without Informing Firm" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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