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Recent Posts in Free Lunch Seminars Category

Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors

Three years after FINRA released an investor alert warning of frauds and scams perpetuated by brokers and financial advisers during "Free Lunch" investment seminars, a similar scheme has ...
Continue reading "Misleading Advertising Disguised as Free Lunch or Gift Invitation Still Luring Prospective Investors" »

SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts

The SEC is increasing scrutiny in its reviews of retirement account and investments targeted to seniors, releasing a "National Exam Program Risk Alert" vowing to focus on brokers and ...
Continue reading "SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts" »

OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors

Unscrupulous brokers with histories of various misconduct are swarming to hotspots across the nation that feature populations of elderly and wealthy investors, according to a recent study by The Wall ...
Continue reading "OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors" »

SEC National Exam Program Issues Broker-Dealers Priorities List for 2014

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued examination priorities for 2014 as part of the office's National Exam Program, whose mission ...
Continue reading "SEC National Exam Program Issues Broker-Dealers Priorities List for 2014" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

Investors Beware: "Free Lunch" Investment Seminars Are Not Always What They Seem

FINRA has distributed an investor alert under their frauds and scams banner, warning investors of so-called "Free Lunch" investment seminars in which potential investment clients are invited ...
Continue reading "Investors Beware: "Free Lunch" Investment Seminars Are Not Always What They Seem" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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