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Recent Posts in Limited Partnerships Category

Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation

FINRA barred former Stifel, Nicolaus & Company broker Stephen Thomas Hurtuk for failing to cooperate with an investigation into allegations that he made unsuitable recommendations to customers in ...
Continue reading "Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation" »

Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions

FINRA fined and suspended former Growth Capital Services, Inc. (San Francisco) broker Kenny Danny Mezher for selling nearly $180,000 in limited partnership interests in an unapproved private security ...
Continue reading "Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions" »

Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms

Massachusetts Secretary of the Commonwealth and chief securities regulator William Galvin announced a state investigation of private placement sales and related sales practices at 10 broker-dealers ...
Continue reading "Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

With $13.8 Million in Settlements, Stephen Hoshimi Suspended for Undisclosed Outside Business Activity

FINRA named "The Hoshimi Group" as an unauthorized outside business activity that Newport Beach broker Stephen Johnathan Hoshimi aka Steve Hoshimi failed to disclose to his firm, Crescent ...
Continue reading "With $13.8 Million in Settlements, Stephen Hoshimi Suspended for Undisclosed Outside Business Activity" »

FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs

Nearly six months after Colorado regulators sanctioned former Taylor Capital Management brokers Dennis Mitchell Farrah and Mark Gregory Raezer for selling Madyson Capital real estate investment trust ...
Continue reading "FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs" »

Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud

FINRA expelled Plano, Texas-based Red River Securities, LLC, barred Red River CEO Brian Keith Hardwick, and ordered restitution in the amount of $24.6 million for fraudulent oil and gas securities ...
Continue reading "Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud" »

High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst

With crude oil prices falling below $50 a barrel, high yield oil stocks are becoming more and more susceptible to a meltdown triggered by oil prices that have plunged by over 50% since 2014's ...
Continue reading "High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst" »

Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships

FINRA barred former M&W Financial, Inc. broker Jason O'Neal Lampier for making fraudulent representations to a customer related to sales of oil and gas securities, in violation of the ...
Continue reading "Jason O'Neal Lampier Barred for Fraudulent Misrepresentations Related to Oil and Gas Limited Partnerships" »

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" »

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" »

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" »

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" »

Kenneth Raden Miller Fined $20,000 & Suspended for Negligent Misrepresentations

FINRA fined former NFP Securities, Inc. associate Kenneth Raden Miller $20,000 and suspended him for six months after determining he made material and negligent misrepresentations and/or omissions in ...
Continue reading "Kenneth Raden Miller Fined $20,000 & Suspended for Negligent Misrepresentations" »
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