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Recent Posts in Criminal Conduct Category

35 results found. Viewing page 1 of 2. Go to page 1 2   Next

SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud

Two months after his arrest for fraud and forgery in an alleged Ponzi scheme targeting "particularly vulnerable" clients, including elderly investors and those with diminished mental ...
Continue reading "SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud" »

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" »

John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud

In a textbook example of red flags and warning signs to watch out for, prosectors charged former Wells Fargo Advisors Financial Network representative John Gregory Schmidt with 128 felony counts, ...
Continue reading "John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud" »

Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother

After Chino, California police arrested Robert Lee Basile for stealing $130,000 from his elderly mother's brokerage account, FINRA barred the former Waddell & Reed and Park Avenue Securities ...
Continue reading "Robert Basile Arrested, Barred For Stealing $130,000 from Elderly Client-His Mother" »

Michael Scott Livermore Sanctioned for Failing to Report Felonies

Michael Scott Livermore's 23-year career with Merrill Lynch in Stockton, California came to an abrupt end earlier this year when the firm discharged him for failing to timely disclose reportable ...
Continue reading "Michael Scott Livermore Sanctioned for Failing to Report Felonies" »

LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud

The US District Court for Colorado sentenced former LPL Financial representative Sonya Delora Camarco to 20 years in prison for stealing several millions of dollars from clients between 2013 and 2017 ...
Continue reading "LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud" »

SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme

The Securities and Exchange Commissioner barred San Diego's Paul Thomas Rampoldi from acting as a broker, several months after Rampoldi's conviction in US District Court for the Southern ...
Continue reading "SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme" »

Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting

FINRA fined and suspended Joshua Robert Jones, formerly of JP Morgan Securities' Santa Monica branch, for transferring funds from an outside account to his personal bank account and onto a check ...
Continue reading "Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting" »

SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud

The Securities and Exchange Commission instituted cease-and-desist proceedings against Ameriprise Financial Services, finding that the firm failed to adopt and implement policies and procedures to ...
Continue reading "SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud" »

Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme

The Securities and Exchange Commission, in a civil complaint, charged Midtown Partners broker Kevin Patrick Gillespie and four others in a series of microcap fraud schemes that netted more than $10 ...
Continue reading "Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme" »

Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts

The State of Arizona indicted former AXA Advisors, LLC broker Howard Milton Price III, charging him with three felonies, including fraud and theft, for allegedly stealing $475,000 from the IRA ...
Continue reading "Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts" »

James Edward Knee Barred, Arrested for Theft from Elderly Client

Two months after his arrest for stealing from an elderly investor, FINRA barred former Ameriprise Financial Services and Voya Financial Advisors broker James "Jim" Edward Knee following an ...
Continue reading "James Edward Knee Barred, Arrested for Theft from Elderly Client" »

DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers

Former Royal Alliance Associates broker Gary John Basralian, barred from the securities industry in March 2018, faces criminal charges including wire fraud and investment adviser fraud for allegedly ...
Continue reading "DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers" »

Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints

FINRA announced it will consider customer-initiated disputes as part of its disciplinary process when sanctioning brokers for misconduct, writing that brokers with a pattern of causing harm may expect ...
Continue reading "Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints" »

Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction

FINRA fined and suspended former Morgan Stanley (Roseville, CA) broker and supervisor Lisa C. Piazza aka Lisa C. Adamo or Lisa C. Rogers for willfully failing to disclose a burglary charge and ...
Continue reading "Lisa Piazza Fined & Suspended for Failure to Disclose Criminal Conviction" »

Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft

Merrill Lynch terminated broker Christopher Lee Hibbard following a customer complaint alleging unauthorized transactions and theft related to variable annuities and money market funds. According to ...
Continue reading "Merrill Lynch Fires Christopher Hibbard after Investigation Uncovers Alleged Theft" »

Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments

FINRA fined and suspended Steven Quoy, of Spencer Edwards, Inc. in Centennial, Colorado, for distributing issuer-prepared sales materials to potential customers that were misleading, omitted material ...
Continue reading "Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments" »

Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado

The Colorado Securities Division charged former LPL Financial broker Sonya D Camarco aka Sonya D Fatchett of Colorado Springs with six counts of securities fraud and seven counts of theft. The ...
Continue reading "Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado" »

Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud

Former Dominion Investment Advisors LLC owner Roger Odell Hudspeth II pleaded guilty to one count of investment adviser fraud and one count of conducting unlawful monetary transactions, the Department ...
Continue reading "Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud" »

With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended

FINRA fined and suspended former Centaurus Financial, Inc. and Brookstreet Securities Corporation (both Newport Beach, CA) broker Tiffany Ann De Ruosi (aka Tiffany DeRuosi, who has since married and ...
Continue reading "With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended" »

Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme

Former broker Stephen Skeffington Eubanks of Bright Trading, LLC's Las Vegas, Nevada branch received a 30-month prison sentence and $437,609 restitution order after a US District Court found him ...
Continue reading "Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme" »

Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients

Former Merrill Lynch broker Alec J Rivera entered a guilty plea to charges of wire fraud for transferring over $1 million out of clients' investment accounts without their knowledge or consent. ...
Continue reading "Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients" »

Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud

After FINRA barred former LPL Financial broker Robert Neil Tricarico for failing to cooperate with an investigation, Tricarico pled guilty in federal court to one count of wire fraud and received a ...
Continue reading "Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud" »

Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud

A federal judge sentenced eight former brokers, advisers, and salesmen—including alleged ringleader Izak Zirk de Maison of Redlands, California—to prison for their roles in a widespread ...
Continue reading "Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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