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Recent Posts in Newport Coast Securities Category

'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk

Bemoaning the "volatility virus" known as XIV—or Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note—the Financial Times shed the spotlight on an ...
Continue reading "'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk" »

Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure

FINRA barred former Newport Coast Securities (Irvine, California) broker George Jeffrey Dahl of Laguna Woods after he refused to provide testimony during an on-the-record interview. In 2016, FINRA ...
Continue reading "Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure" »

Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry

Eight months after The Law Offices of Jonathan W. Evans & Associates filed an arbitration claim against Newport Coast Securities over a multitude of misconduct, including elder abuse; negligence; ...
Continue reading "Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry" »

Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses

FINRA fined former Newport Coast Securities and JP Turner & Company (both branches in Palm Springs, CA) broker Leonard Allen Goldberg for using discretion without authorization in 300 unsuitable ...
Continue reading "Leonard Goldberg Barred for Fraudulent Use of Mutual Fund and ETF Discretion, Causing Over $123,600 in Customer Losses" »

CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities

Following a FINRA suspension, fine and order of restitution imposed against former Newport Coast Securities and Securities America broker Michael Thomas Ryan of Santa Ana, California, the CFP Board ...
Continue reading "CFP Board Suspends Broker Michael T. Ryan of Santa Ana for Unauthorized Outside Business Activities" »

Five Newport Coast Brokers Charged with Churning Resulting in $1 Million Losses

FINRA filed charges against five brokers associated with Newport Coast Securities Inc., alleging that from 2008 through 2013, the brokers churned the accounts of 24 customers, using margin and ...
Continue reading "Five Newport Coast Brokers Charged with Churning Resulting in $1 Million Losses" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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