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Recent Posts in Disclosure Category

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

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" »

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" »

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" »

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, ...
Continue reading "David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation" »

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" »

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" »

Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers

FINRA fined and suspended John-Aaron Lenhert, formerly of Morgan Stanley in Laguna Niguel, California, for borrowing funds from multiple customers without approval and for related misrepresentations, ...
Continue reading "Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers" »

Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades

FINRA fined and suspended former Ameritas Investment Corp. broker Daniel K Kittner for effecting approximately 700 trades in six accounts without first contacting his customers. The findings indicate ...
Continue reading "Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades" »

IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent

FINRA barred former Independent Financial Group (Pacific Grove, CA) broker Jon Richard Pariser after he failed to cooperate with an investigation into allegations surrounding the recommendation or ...
Continue reading "IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent" »

Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients

FINRA fined and suspended former Ameriprise Financial Services and Moors & Cabot, Inc broker Robert Charles Torcivia for improperly accepting and failing to disclose fiduciary and beneficiary ...
Continue reading "Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients" »

HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation

FINRA barred former HD Vest Investment Services brokers Jerry Davis Raines and Donna Lynn Barnard for failing to cooperate with staff investigating sales of promissory notes related to the Woodbridge ...
Continue reading "HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation" »

Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme

The Securities and Exchange Commission alleged Ladenburgh Thalmann Financial Services chairman and largest shareholder Phillip Frost and a handful of co-defendants with perpetrating a series of ...
Continue reading "Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme" »

Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations

FINRA fined and suspended former Wells Fargo Advisors Financial Networks broker Richard Stephen Hughes for instructing an elderly client to lie about the commissions charged in short-term trading unit ...
Continue reading "Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations" »

Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers

FINRA censured and sanctioned Lincoln Investment Planning, LLC for failing to apply available sales charge waivers to eligible retirement accounts and charitable organizations from 2011 through June ...
Continue reading "Lincoln Investment Planning Sanctioned for Failing to Apply Sales Charge Discounts to Eligible Retirement Customers" »

StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices

Founded in Boston and now based in Beverly Hills, California, StockCross Financial Services and its Los Angeles-based broker Peter Edward Cunningham stand accused of causing losses in customer ...
Continue reading "StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices" »

Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website

FINRA fined and suspended Frank Thomas Marino, formerly of Privex Securities in Lake Forest and Marv Capital of Newport Beach, CA, for operating or helping to administer a website for a cannabis ...
Continue reading "Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website" »

Michael Gilhooly Barred for Refusal to Appear during Investigation

FINRA barred Michael James Gilhooly, formerly of RJJ Pasadena Securities of South Pasadena, California, for refusing to appear for on-the-record testimony during an investigation into whether Gilhooly ...
Continue reading "Michael Gilhooly Barred for Refusal to Appear during Investigation" »

FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations

FINRA barred former Financial West Group and Western International Securities (both Los Angeles, California) broker Paul Edward Soll for refusing to cooperate with an investigation involving trading ...
Continue reading "FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations" »

Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds

FINRA fined Cetera Financial Specialists $200,000 for supervisory deficiencies concerning its broker Alex P Anderson, whom FINRA previously barred for purportedly abusing his Power of Attorney ...
Continue reading "Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds" »

After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP

With a pending SEC fraud charge to his name, FINRA barred Robert Russel "Rusty" Tweed of Glendale, California from the securities industry, finding he negligently made false and misleading ...
Continue reading "After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP" »

Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm

FINRA barred former Geneos Wealth Management (Mesa, AZ) broker Bradley Joseph Tennison in connection with an investigation into recommending a customer wire $300,000 to an investment away from the ...
Continue reading "Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm" »

Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms

Massachusetts Secretary of the Commonwealth and chief securities regulator William Galvin announced a state investigation of private placement sales and related sales practices at 10 broker-dealers ...
Continue reading "Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges

Having found that Wells Fargo Advisors' improper sales of complex financial products imposed "substantial costs" on the firm's retail customers while generating commissions for the ...
Continue reading "Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges" »

Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures

FINRA fined Fifth Third Securities $4 million and ordered $2 million in restitution for suitability and related failures pertaining to the firm's variable annuity (VA) business. According to ...
Continue reading "Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures" »
153 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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