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Recent Posts in Discipline Category

578 results found. Viewing page 1 of 24. Go to page 1 2 3 4 5 6 7  . . . 20 21 22 23 24   Next

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" »

FINRA Charges Raymond James', Amerprise's Vincent Storms with Falsifying Reports to Prevent OBA Audit Follow-Up

FINRA filed a complaint alleging that former Raymond James and Ameriprise Financial Services broker Vincent Joseph Storms falsified data submitted to Raymond James related to branch audits, causing ...
Continue reading "FINRA Charges Raymond James', Amerprise's Vincent Storms with Falsifying Reports to Prevent OBA Audit Follow-Up" »

Complaint Alleges Shopoff Securities Fraudulently Sold $12.6 Million of Promissory Notes

FINRA's Department of Enforcement alleges that William Anthony "Bill" Shopoff, Stephen Robert Shopoff, and their firm, Shopoff Securities of Irvine, California fraudulently sold nearly ...
Continue reading "Complaint Alleges Shopoff Securities Fraudulently Sold $12.6 Million of Promissory Notes" »

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" »

Nicholas Maddox Barred for Failing to Answer FINRA Questions

FINRA barred former TCFG Wealth Management (Laguna Niguel, CA) and US Bancorp Investments (Santa Fe Springs/Cerritos) representative Nicholas Brent Maddox for failing to answer investigator's ...
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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 ...
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Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts

FINRA fined and suspended Paul Steven Wishingrad for using discretion in customer accounts held at UBS Financial Services in Beverly Hills, CA without authorization, and after reportedly being warned ...
Continue reading "Paul Wishingrad Sanctioned for Unauthorized Use of Discretion in UBS Client Accounts" »

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- ...
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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" »

Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit

FINRA barred former MML Investors Services (Irvine, CA) broker Nicholas Randolph Radke after he failed to cooperate with an investigation into allegations that he participated in a private securities ...
Continue reading "Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit" »

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" »

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" »

Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies

FINRA fined and suspended Michael Eugene Heath, formerly of First Allied Securities of Ladera Ranch, California, for using an unapproved, personal e-mail account to communicate with customers about ...
Continue reading "Michael Heath Sanctioned for Personal E-mails, Communications in Violation of First Allied Securities Policies" »

David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation

FINRA barred former Signator Investors Inc. broker David Carl Ferwerda for failing to cooperate with its investigation into the $1.2 billion Ponzi scheme concerning the Woodbridge Group of Companies, ...
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Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm

FINRA fined and suspended Intrepid Investment Bankers LLC (Los Angeles, CA) Senior Managing Director and President W Michael Rosenberg for failing to timely disclose new investment accounts he opened ...
Continue reading "Intrepid Investment Bankers President W Michael Rosenberg Sanctioned for Undisclosed Accounts Away from Firm" »

John Simoncic Barred for Churning Retirement Accounts with VIX ETF

FINRA barred John Scott Simoncic, formerly of Financial West Group (Reno, Nevada and San Diego, California) and Securities America (Solana Beach, CA), for churning customer accounts, engaging in ...
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Andrew Mandell Barred for Refusing to Appear During Investigation

FINRA barred Andrew Jason Mandell, formerly of Network 1 Financial Securities in Oakland and Olympus Securities of New York, for refusing to cooperate with a FINRA investigation into potential ...
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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" »

Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial

FINRA barred Charla Cynthia Kabana after she refused to cooperate with an investigation into the circumstances surrounding her termination from LPL Financial of Huntington Beach, CA, in which the firm ...
Continue reading "Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial" »
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