California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog

Categories

legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Recent Posts in Oil and Gas Category

31 results found. Viewing page 1 of 2. Go to page 1 2   Next

Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.

On May 6, 2019, the Law Offices of Jonathan W. Evans & Associates filed a Statement of Claim and Demand for Arbitration against Western International Securities, Inc. and its former broker Dennis ...
Continue reading "Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr." »

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" »

Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018

The 2018 list of worst performing mutual funds and ETFs features several funds in the emerging and international markets sector, as well as securities related to gold, energy, and natural resources. A ...
Continue reading "Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018" »

CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda

Barred from FINRA in December 2017 for unsuitable over-concentration in speculative oil and gas securities, resulting in significant losses for elderly customers, Anaheim's Charles Henry Frieda no ...
Continue reading "CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda" »

Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018

InvestmentNews compiled a list of the 10 funds that saw the largest losses over the first half of 2018, citing volatility as the biggest story thus far this year. For instance, a slew of ...
Continue reading "Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018" »

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" »

FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations

FINRA awarded a married couple $800,000 after an arbitration panel found Oppenheimer & Co. negligent in recommending these customers invest in energy stocks, including Breitburn Energy Partners, ...
Continue reading "FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations" »

CFP Board Suspends Charles Frieda Following FINRA Overconcentration Bar

A month after FINRA barred former Wells Fargo representatives Charles Henry Frieda and Charles Bernard Lynch for unsuitably over concentrating customer funds in speculative oil and gas industry ...
Continue reading "CFP Board Suspends Charles Frieda Following FINRA Overconcentration Bar" »

Ranking the 20 Worst Performing Mutual Funds by Lowest Return

In 2017, BankInvestmentConsultant ranked the 20 worst performing mutual funds by lowest percent return and found that all but three of the worst performers are in three natural resources sectors: ...
Continue reading "Ranking the 20 Worst Performing Mutual Funds by Lowest Return" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses

FINRA barred Charles Henry Frieda and Charles Bernard Lynch, formerly of Wells Fargo Advisors and Wells Fargo Clearing Services in Irvine, California, finding that the duo unsuitably over-concentrated ...
Continue reading "Ex-Wells Fargo Reps Charles Frieda and Charles Lynch Barred for Energy Sector Overconcentration and Millions in Losses" »

Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality

Once touted as a solid investment, Los Angeles-based Breitburn Energy Partners LP (over the counter as BBEPQ) suffered the fate of several oil-and-gas sector securities and Master Limited Partnerships ...
Continue reading "Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality" »

Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco

Touted by investment firms such as Wells Fargo and Morgan Stanley to their clients, Seadrill Limited (ticker symbol SDRL) reached its lowest price in 2017 after warning shareholders and bond owners of ...
Continue reading "Seadrill Limited (NYSE: SDRL) Runs Aground with Debt Restructuring Fiasco" »

Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts

FINRA suspended former Morgan Stanley broker Timothy Thomas Gibbons for unsuitable investment recommendations to five elderly and retired clients in their 70s, 80s, and 90s after Gibbons purportedly ...
Continue reading "Ex-Morgan Stanley Rep Timothy T Gibbons Suspended, to Pay $737,000 for Unsuitable Oil & Gas Over-Concentration in Elderly Accounts" »

Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly

The oil-and-gas Master Limited Partnership (MLP) Linn Energy (NASDAQ: LINE) plunged its investors further into financial peril with a 2016 Chapter 11 Bankruptcy filing, while a Bankruptcy Court this ...
Continue reading "Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly" »

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" »

Buyer Beware - Worst Performing Mutual Funds & ETFs From 2012-2017

The 10 worst performing mutual funds and ETFs for the past five years features a notably underperforming natural resources sector (such as energy, mineral, oil, gas, and coal companies), whose annual ...
Continue reading "Buyer Beware - Worst Performing Mutual Funds & ETFs From 2012-2017" »

Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades

FINRA barred former Morgan Stanley Smith Barney broker John Batista Bocchino for hiding $190 million in Venezuelan bond trades from the firm by directing the trades through several nominee accounts ...
Continue reading "Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades" »

Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe

FINRA barred ex-Colorado Financial Service Corporation (Carlsbad, CA) broker Tracy Rae Turner and ordered $292,894.04 in fines following a November 2016 complaint alleging Turner's participation ...
Continue reading "Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe" »

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" »

Christopher Ariola Barred, Ordered to Pay $138k in Restitution for Unsuitable Gold & Energy Recommendations

Former Bay Mutual Financial (Santa Monica) and Financial Telesis (Aliso Viejo) broker Christopher Basile Ariola must pay nearly $138,000 in restitution to customers who lost money after Ariola ...
Continue reading "Christopher Ariola Barred, Ordered to Pay $138k in Restitution for Unsuitable Gold & Energy Recommendations" »

Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct

Former Colorado Financial Service Corporation (whose branch is located in Carlsbad, California) broker Tracy Rae Turner allegedly participated in unapproved private securities transactions related to ...
Continue reading "Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct" »

Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »

Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration

The Law Offices of Jonathan W. Evans & Associates is investigating possible claims that Wedbush Securities, Inc. broker William Mark Heiden (Newport Beach, California) mismanaged client accounts ...
Continue reading "Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration" »

Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading

A complaint filed against Christopher Basile Ariola, formerly of Bay Mutual Financial in Santa Monica and Financial Telesis, Inc. of Aliso Viejo, California, accuses the SoCal broker of making a ...
Continue reading "Christopher Ariola Charged with Unsuitable Energy Recommendations to Elderly Clients, Undisclosed Trading" »
31 results found. Viewing page 1 of 2. Go to page 1 2   Next
accolades
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.
Website: