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Recent Posts in Microcap Stocks Category

Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct

FINRA sanctioned Glendale Securities, Inc. and brokers George Alberto Castillo, Paul Eric Flesche, and Albert Raymond Laubenstein of the firm's Sherman Oaks, California branch, and Huanwei Huang ...
Continue reading "Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct" »

Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme

The Securities and Exchange Commission alleged Ladenburgh Thalmann Financial Services chairman and largest shareholder Phillip Frost and a handful of co-defendants with perpetrating a series of ...
Continue reading "Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme" »

Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme

The Securities and Exchange Commission, in a civil complaint, charged Midtown Partners broker Kevin Patrick Gillespie and four others in a series of microcap fraud schemes that netted more than $10 ...
Continue reading "Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme" »

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" »

Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account

FINRA fined and suspended Joseph Gunnar & Co. broker and managing director Anthony J Sica for making unsuitable recommendations to an elderly customer living on a fixed income, resulting in an ...
Continue reading "Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account" »

FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme

An extended hearing panel charged with investigating allegations that Scottsdale Capital Advisors Corp. (Scottsdale, Arizona) and three top associates engaged in $1.7 million-worth of illegal microcap ...
Continue reading "FINRA Fines Scottsdale Capital Advisors $1.5 Million, Bars John Hurry, Suspends Timothy DiBlasi & D Michael Cruz in Illegal $1.7 Million Cayman Islands Microcap Sales Scheme" »

Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks

FINRA fined and suspended former Ameritas Investment Corp. (Los Angeles) broker Andrew John "AJ" Logullo for failing to disclose outside brokerage accounts to Ameritas and for engaging in an ...
Continue reading "Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks" »

Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts

FINRA filed a complaint alleging that former Financial West Group (San Francisco) and Paulson Investment Company (Novato, CA) broker Kelly Clayton Althar made unsuitable recommendations and ...
Continue reading "Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts" »

Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades

FINRA fined Credit Suisse Securities (USA) LLC $16.5 million for anti-money laundering (AML), supervision, and other violations related to the firm's suspicious activity monitoring program ...
Continue reading "Credit Suisse Securities Fined $16.5 Million for Significant Supervisory Deficiencies in Detecting Suspicious Microcap Trades" »

Facing Possible Discipline, Scottsdale Capital Advisors Sues FINRA Over Enforcement Authority

Almost one year after FINRA first filed a complaint against Scottsdale Capital Advisors alleging $1.7 million in illegal microcap stock sales and wires, Scottsdale Capital Advisors is attempting to ...
Continue reading "Facing Possible Discipline, Scottsdale Capital Advisors Sues FINRA Over Enforcement Authority" »

George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme

FINRA barred former Meyers Associates LP broker George Johnson and suspended his supervisor, Christopher Wynne, for allegedly scheming to artificially inflate the market price of over-the-counter ...
Continue reading "George Johnson Barred, Christopher Wynne Suspended for Market Manipulation Scheme" »

Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures

FINRA fined Cantor Fitzgerald & Co. $6 million and ordered nearly $1.3 in disgorgement in commissions and interest for selling billions of unregistered microcap shares, which is a violation of ...
Continue reading "Cantor Fitzgerald Sanctioned $7.3 Million for Billions of Unregistered Microcap Sales, Supervisory & AML Failures" »

FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million

A complaint filed by FINRA's Department of Enforcement charged the Arizona-based Scottsdale Capital Advisors Corporation and brokers John J. Hurry, Timothy B. Diblasi and D. Michael Cruz with ...
Continue reading "FINRA Complaint Charges Scottsdale Capital Advisors, John Hurry, Timothy DiBlasi & D Michael Cruz with Illegal Microcap Sales of $1.7 Million" »
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