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Recent Posts in Margin Category

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk

Investing on margin—which means investing funds that are borrowed from a brokerage firm—can look attractive because of the potential for great returns. On the other hand, buying on margin ...
Continue reading "Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk" »

In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation

Months after serving a suspension and paying fines and disgorgment to settle charges that he unsuitably recommended mutual funds in a customer's IRA account, FINRA barred former Westpark Capital, ...
Continue reading "In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation" »

SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures

The Securities and Exchange Commission initiated cease-and-desist proceeding against Electronic Transaction Clearing, LLC of Los Angeles, finding that the firm moved tens of millions of dollars in ...
Continue reading "SEC Fines LA-Based Electronic Transaction Clearing $80,000, Issues Cease-And-Desist Order for Margin Securities Failures" »

FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin

FINRA released its annual regulatory and examination priorities letter for 2018, highlighting several points of emphasis for the regulator in the new year. Key in this list are sales practice concerns ...
Continue reading "FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin" »

Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades

FINRA fined and suspended former Amerprise Financial Services brokers Jack B McBride and Stuart L Pearl for misconduct related to use of margin in customer accounts, while McBride additionally ...
Continue reading "Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades" »

Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors

FINRA barred former Raymond James & Associates broker Scott Allen Sibley for effecting approximately 900 securities transactions in the account of a 62-year-old client unable to work for medical ...
Continue reading "Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors" »

Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts

FINRA fined Merrill Lynch $6.25 million and ordered the firm to pay an additional $780,000—totaling over $7 million in penalties—for inadequate supervision of its customer's use of ...
Continue reading "Merrill Lynch to Pay $7 Million in Fines & Restitution for Inadequate Supervision of Leverage Use in Customer Accounts" »

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" »

NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity

FINRA permanently barred NSM Securities, Inc. broker Shondeep S. Balchandani for multiple violations of FINRA, NASD and SEC rules and laws, naming NSM's President and CEO Niyukt R. Bhasin and ...
Continue reading "NSM Securities, Bhasin, Bhagwani & Balchandani Disciplined for Supervisory, Suitability and Compliance Failures, Churning and Unauthorized Trading Activity" »

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" »

John Thornes Barred for Stealing $4.2 Million from Elderly Alzheimer's, Scholarship Accounts

Just two months after publishing a May complaint against Redland, California's John Thomas Thornes, president of Thornes & Associates Inc. Investment Services, FINRA barred Thornes for the ...
Continue reading "John Thornes Barred for Stealing $4.2 Million from Elderly Alzheimer's, Scholarship Accounts" »

Greg John Campbell Barred in $2+ Million Misappropriation Scheme

FINRA barred former LPL Financial and Merrill Lynch broker Greg J. Campbell after his alleged misappropriation of over $2 million in funds from customers at both firms, including elderly customers and ...
Continue reading "Greg John Campbell Barred in $2+ Million Misappropriation Scheme" »

Russell Philip Macke Suspended for Excessive Trading and Use of Margin

The Financial Industry Regulatory Authority (FINRA) suspended broker Russell Philip Macke for taking advantage of discretionary authority granted to him by his customers and engaging in excessive ...
Continue reading "Russell Philip Macke Suspended for Excessive Trading and Use of Margin" »

Investing on Margin Carries Additional Risks and May Result in Unintended Consequences

Succinctly, margin is a deposited sum that serves as security for an account or transaction. It is collateral that covers credit risk which arises from borrowed funds, financial instruments sold short ...
Continue reading "Investing on Margin Carries Additional Risks and May Result in Unintended Consequences" »
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