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Recent Posts in Life Settlements Category

SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors

The SEC filed a complaint against Christopher A. Novinger and Brady J. Speers of the NFS Group, LLC (aka Novers Financial and Safe Retirement Experts), ICAN Investment Group, LLC, and Speers Financial ...
Continue reading "SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors" »

Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact

FINRA barred Milkie Ferguson Investments, Inc. broker Scott Schroeder of Los Angeles, California for making unsuitable recommendations to multiple elderly customers. Specifically, Schroeder allegedly ...
Continue reading "Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact" »

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" »

Christipher Lynn Belonge Fined Over $50,000 & Suspended for Inadequate Supervision Resulting in Significant Investment Losses

The Financial Industry Regulatory Authority (FINRA) fined registered principal Christipher Lynn Belonge $54,819 and suspended Belonge until September 6, 2012 for failure to supervise representatives ...
Continue reading "Christipher Lynn Belonge Fined Over $50,000 & Suspended for Inadequate Supervision Resulting in Significant Investment Losses" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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