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Recent Posts in FWG Category

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 ...
Continue reading "John Simoncic Barred for Churning Retirement Accounts with VIX ETF" »

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" »

Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts

FINRA filed a complaint alleging that former Financial West Group (San Francisco) and Paulson Investment Company (Novato, CA) broker Kelly Clayton Althar made unsuitable recommendations and ...
Continue reading "Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts" »

Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment

FINRA suspended Michael Jay Strasser (CRD# 1456856), formerly of Mill Valley, California's Financial West Group, and fined him $2500 for failing to disclose a judgment against him on multiple ...
Continue reading "Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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