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Recent Posts in E-Mail Category

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" »

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" »

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" »

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" »

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" »

OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final

An appealed disciplinary decision barring Richard Daniel Tabizon II of Rosemead, California from the securities industry became final, affirming FINRA's decision to expel Tabizon for directing a ...
Continue reading "OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final" »

Raymond James Fined $2 Million for Failing to Supervise E-mail Communications

FINRA fined Raymond James $2 million after finding that a flawed e-mail review system allowed millions of e-mails to evade adequate review, creating "unreasonable risk" that misconduct by ...
Continue reading "Raymond James Fined $2 Million for Failing to Supervise E-mail Communications" »

FINRA Bars Victor Michel for Failing to Cooperate with Investigation

FINRA barred former Financial West Group (FWG) broker Victor Michel for failing to provide requested testimony to FINRA as part of the regulator's investigations into allegations of sales practice ...
Continue reading "FINRA Bars Victor Michel for Failing to Cooperate with Investigation" »

Howard Hull Fined & Suspended for Firm's Supervisory Failures

FINRA suspended California broker and principal Howard Lawrence Hull, fining him $20,000 for a series of supervisory failures at his firm, HLH Securities, Inc., of Newport Coast, CA, including ...
Continue reading "Howard Hull Fined & Suspended for Firm's Supervisory Failures" »

Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away

FINRA suspended former Morgan Stanley representative, and one-time pitcher for Major League Baseball's Philadelphia Phillies, Patrick Dennis Combs for eliciting a $500,000 investment in a ...
Continue reading "Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away" »

Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm

FINRA fined and suspended Victor Michel, formerly of Financial West Group in Westlake Village, CA, for using his personal non-firm e-mail account for correspondence with a firm customer concerning ...
Continue reading "Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm" »

Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision

FINRA fined Scottrade, Inc. $2.6 million for failures related to its electronic records and e-mails: specifically, that the firm failed to retain a "large number" of securities-related ...
Continue reading "Scottrade Fined $2.6 Million for Failing to Keep E-mails and Records, Poor Supervision" »

FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200

FINRA filed a disciplinary complaint against broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, California branch, alleging that he failed to confirm the identity of a customer ...
Continue reading "FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200" »

SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam

The SEC and FINRA are warning investors of dangerous investment-related e-mail spam that promotes a securities fraud scheme known as "pump-and-dump." In the alert, regulators warn of ...
Continue reading "SEC & FINRA Joint Alert: Beware Pump-and-Dump Scams via E-mail Spam" »
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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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