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Recent Posts in Initial Public Offerings Category

Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account

FINRA fined and suspended Joseph Gunnar & Co. broker and managing director Anthony J Sica for making unsuitable recommendations to an elderly customer living on a fixed income, resulting in an ...
Continue reading "Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account" »

Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures

FINRA suspended San Mateo, California broker and branch manager Walter Rae Chao and fined him $30,000 for participating in unauthorized private securities transactions while he was associated with LPL ...
Continue reading "Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures" »

FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business

FINRA fined 10 firms a total of $43.5 million for their roles in allowing equity research analysts to solicit investment banking business in exchange for favorable research coverage in connection with ...
Continue reading "FINRA Fines 10 Firms from Barclays to Wells Fargo $43.5 Million for Giving Favorable Research Coverage of Toys"R"Us IPO in Exchange for Banking Business" »

FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications

FINRA fined Citigroup Global Markets, Inc. $15 million for its failure to adequately supervise both internal and external communications related to equity research, furthermore allowing an equity ...
Continue reading "FINRA Fines Citigroup $15 Million for Supervisory Failures in IPO Research and Non-Public Communications" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales

FINRA fined brokerage firm Morgan Stanley Smith Barney LLC $5 million for supervisory failures exhibited in the solicitation and sales of shares of 83 initial public offerings (IPOs), which included ...
Continue reading "Morgan Stanley Fined $5 Million for Supervisory Failures Related to Initial Public Offering Sales" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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