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Recent Posts in Insurance Category

Sandeep Varma Cited for Misleading Estate Planning Seminar Communications

FINRA sanctioned former LPL Financial and present FSC Securities Corporation (both of San Diego, CA) broker Sandeep Varma for multiple violations related to seminar slide show presentations he ...
Continue reading "Sandeep Varma Cited for Misleading Estate Planning Seminar Communications" »

Charles Cumber Sanctioned for Undisclosed Outside Business Activity and False Attestation

FINRA fined Brokers International Financial Services, LLC representative Charles Anderson Cumber, Jr. of the firm's Albuquerque, New Mexico branch, for undisclosed selling away from his ...
Continue reading "Charles Cumber Sanctioned for Undisclosed Outside Business Activity and False Attestation" »

Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company

FINRA fined and suspended Cetera Advisors LLC (San Diego, CA branch) representative Iain Patrick Reilly for impersonating clients during phone calls he made from 2013 to 2016 to an insurance ...
Continue reading "Iain Reilly Fined & Suspended for Impersonating Customers in Phone Calls to Insurance Company" »

Vincent Payne Suspended for Forgery, Falsifying Customer Signatures

FINRA suspended former Farmers Financial Solutions of Woodland, CA rep Vincent Bee Payne for falsifying multiple customers' signatures on firm documents without any of the customers' consent ...
Continue reading "Vincent Payne Suspended for Forgery, Falsifying Customer Signatures" »

Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity

FINRA fined and suspended former Capital Financial Services, Inc. (Carlsbad, CA) broker Anthony Paul Lombardi for failing to disclose an outside business in which he sold insurance and received sales ...
Continue reading "Anthony Lombardi Fined and Suspended for Failing to Disclose Outside Insurance Business Activity" »

FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation

FINRA barred former Ameritas Investment Corp. broker Nathan Silva for his failure to cooperate with an investigation into several instances of misconduct, including an Ameritas charge that he ...
Continue reading "FINRA Bars Retirement Income Planner Nathan Silva for Failing to Cooperate with Misconduct Investigation" »

Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception

FINRA filed a complaint against former MetLife Inc. and Pruco Securities broker Winston Wade Turner, accusing Turner of employing "a device, scheme or artifice to defraud" by inducing ...
Continue reading "Former MetLife & Prudential Broker Winston Turner Accused of Variable Annuity Fraud and/or Deception" »

Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors

Securities regulators in Massachusetts charged Securities America and advisor Barry Graham Armstrong with running a "grossly deceptive" radio campaign targeted at vulnerable senior citizens. ...
Continue reading "Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors" »

With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz

After 14 customers filed separate disputes alleging misrepresentation and falsification of statements and records in variable annuity (VA) transactions, FINRA filed a complaint against broker Anthony ...
Continue reading "With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz" »

To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports

A Wall Street Journal review revealed that when FINRA disciplines a broker for misconduct, the admonished registrant is sometimes able to retain his or her insurance license, even if the broker's ...
Continue reading "To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports" »

Tony Huang, formerly of NY Life Securities, LLC, Barred for Falsifying Life Insurance Applications

FINRA barred a former NY Life Securities, LLC broker, Tony Huang, for allegedly partaking in a scheme to falsify life insurance applications. In addition to forging customer signatures, in some ...
Continue reading "Tony Huang, formerly of NY Life Securities, LLC, Barred for Falsifying Life Insurance Applications" »

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" »

Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases

The financial homeowners' market has re-entered the realm of cash-out refinancing, a tool relatively rare and exiled since the high-profile real-estate bubble bust of the mid-2000s. A loan taken ...
Continue reading "Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases" »

FINRA May Require Brokerage Firms to Carry Arbitration Insurance; Ensure Payment of More Awards

FINRA is considering adding a requirement that its firms carry arbitration insurance. The insurance would cover arbitration award payments to investors, protecting investors in the event that a firm ...
Continue reading "FINRA May Require Brokerage Firms to Carry Arbitration Insurance; Ensure Payment of More Awards" »
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