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Recent Posts in Mark-Up/Mark-Down Category

Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses

FINRA barred former Financial West Group (Los Angeles, CA) broker Sean J Waters for excessive trading in his elderly client's individual and IRA accounts with reckless disregard for his senior ...
Continue reading "Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses" »

Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud

Former Hudson Valley Capital Management co-owner Mark Joseph Gillis pleaded guilty to securities fraud after investigators charged him with scheming to steal nearly $400,000 from investors. FINRA ...
Continue reading "Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud" »

Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements

FINRA filed a complaint against Sandlapper Securities, LLC, as well as brokers Trevor Lee Gordon and Jack Charles Bixler, accusing the respondents of willfully defrauding investors by selling ...
Continue reading "Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements" »

Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids

FINRA censured and fined StockCross Financial Services of Beverly Hills $50,000 for failing to immediately publish a bid to reflect the price and size of 25 customer limit orders for over-the-counter ...
Continue reading "Stockcross Financial Services of Beverly Hills Fined for Supervisory Violations, Failing to Timely Publish OTC Bids" »

Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account

FINRA barred former KC Ward Financial broker Craig David Dima for making unauthorized and unsuitable trades totaling $15 million in a 73-year-old client's retirement account, and for making ...
Continue reading "Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account" »

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" »

Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account

Massachusetts Secretary of the Commonwealth William F. Galvin charged former Brookville Capital Partners LLC broker Christopher Frederic Veale for allegedly engaging in abusive sales practices ...
Continue reading "Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account" »

FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market

FINRA Monday announced an accelerated effort to "significantly" increase transparency in Fannie Mae-, Freddie Mac- and Ginnie-Mae issued mortgage-backed securities through the Trade ...
Continue reading "FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market" »

StateTrust Investments, Joseph Turnes Fined $1 Million, Ordered to Pay $353,000 in Restitution for Unfair Bond Prices

FINRA fined StateTrust Investments, Inc. and head trader Joseph Luis Turnes for charging unfair prices to customers in the firm's bond sales, failure to report transactions, making material ...
Continue reading "StateTrust Investments, Joseph Turnes Fined $1 Million, Ordered to Pay $353,000 in Restitution for Unfair Bond Prices" »
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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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