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Recent Posts in Investment Adviser Category

JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme

In the wake of a federal grand jury's indictment of Future Income Payments and its owner Scott A. Kohn of Newport Coast, California for fraud over an alleged Ponzi scheme targeting pensioners and ...
Continue reading "JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme" »

Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence

As Aequitas Capital Management, a firm that formerly reported $1.7 billion in managed assets, continues its collapse with an alleged SEC investigation, one of the many financial advisers that pushed, ...
Continue reading "Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence" »

SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments

The Security and Exchange Commission's National Exam Program issued a risk alter titled " Investment Adviser Due Diligence Processes for Selecting Alternative Investments and their Respective ...
Continue reading "SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments" »

Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names

The SEC acknowledged concern about fund names, releasing a guidance update advising investment companies, firms, and issuers against using misleading terminology when naming mutual funds, namely and ...
Continue reading "Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names" »

FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available

FINRA upgraded its BrokerCheck technology over the Veterans Day weekend, making it easier for the investing public to view detailed record information about brokers and other professionals registered ...
Continue reading "FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available" »
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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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