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Recent Posts in Outside Business Activity Category

93 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next

Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme

FINRA barred broker Frank Roland Dietrich for his participation in a massive $1.2 billion Ponzi scheme related to investments in the Woodbridge Group of Companies, disciplining the former Quest ...
Continue reading "Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme" »

Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity

FINRA fined and suspended former JP Morgan (Culver City and Santa Monica, CA branches) broker Hector Villalta for engaging in an outside business activity without prior written notice to or approval ...
Continue reading "Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity" »

San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

FINRA barred former National Securities Corporation (San Diego) broker Kyle Patrick Harrington for allegedly trying to obstruct FINRA and firm investigations into allegations that he converted ...
Continue reading "San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations" »

Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers

FINRA fined and suspended John-Aaron Lenhert, formerly of Morgan Stanley in Laguna Niguel, California, for borrowing funds from multiple customers without approval and for related misrepresentations, ...
Continue reading "Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers" »

Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions

FINRA fined and suspended former Growth Capital Services, Inc. (San Francisco) broker Kenny Danny Mezher for selling nearly $180,000 in limited partnership interests in an unapproved private security ...
Continue reading "Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions" »

Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds

FINRA fined Cetera Financial Specialists $200,000 for supervisory deficiencies concerning its broker Alex P Anderson, whom FINRA previously barred for purportedly abusing his Power of Attorney ...
Continue reading "Cetera Financial Fined $200,000 for Failing to Supervise Broker Who Misused Elderly Client's Funds" »

Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm

FINRA barred former Geneos Wealth Management (Mesa, AZ) broker Bradley Joseph Tennison in connection with an investigation into recommending a customer wire $300,000 to an investment away from the ...
Continue reading "Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm" »

Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities

FINRA fined and suspended former RBC Capital (San Francisco, CA) broker Brian Sung Hyun aka Sung Chul Hyun for participating in a pair of cannabis and medical marijuana-related outside business ...
Continue reading "Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities" »

With $13.8 Million in Settlements, Stephen Hoshimi Suspended for Undisclosed Outside Business Activity

FINRA named "The Hoshimi Group" as an unauthorized outside business activity that Newport Beach broker Stephen Johnathan Hoshimi aka Steve Hoshimi failed to disclose to his firm, Crescent ...
Continue reading "With $13.8 Million in Settlements, Stephen Hoshimi Suspended for Undisclosed Outside Business Activity" »

FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs

Nearly six months after Colorado regulators sanctioned former Taylor Capital Management brokers Dennis Mitchell Farrah and Mark Gregory Raezer for selling Madyson Capital real estate investment trust ...
Continue reading "FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs" »

FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity

Over 20 years since Harold Francis "Harry" Couglar, most recently of Montage Securities in San Diego, allegedly effected his first securities transaction at an account held at a ...
Continue reading "FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity" »

Joseph Pratte Barred After Outside Business Activities Investigation

FINRA barred longtime Riverside area broker Joseph Glenn Pratte for refusing to provide requested information related to a review of his outside business activities, thus capping off a 35-year career ...
Continue reading "Joseph Pratte Barred After Outside Business Activities Investigation" »

James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures

FINRA fined and suspended James "Jim" Otis Conaway and Lorraine Annette Campbell Conaway aka Lorraine Annette Espinoza for violations related to Tycon Properties, a real estate company the ...
Continue reading "James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures" »

Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name

Having listed cryptocurrency in its 2018 Regulatory and Examination Priorities Letter, FINRA sanctioned broker Arthur Robert Meunier-Breitman, formerly of Morgan Stanley, for violations related to ...
Continue reading "Ex-Morgan Stanley Rep Arthur Robert Meunier-Breitman Sanctioned for Tezos Crypto-Blockchain Violations, Illicit Solicitations, and Using Assumed Name" »

OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final

An appealed disciplinary decision barring Richard Daniel Tabizon II of Rosemead, California from the securities industry became final, affirming FINRA's decision to expel Tabizon for directing a ...
Continue reading "OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final" »

Kevin J Lee Barred Following Investigation into Undisclosed Business Activity

FINRA barred Kevin James Lee, formerly of Martin Nelson & Co, Inc. in Lake Oswego, Oregon, for failing to provide requested documents and information in connection with FINRA's investigation ...
Continue reading "Kevin J Lee Barred Following Investigation into Undisclosed Business Activity" »

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" »

JP Morgan's Farid Morim Barred After Conversion Investigation

FINRA barred Farid Morim, formerly Vice President of JP Morgan's Beverly Hills, California branch, after a lengthy investigation into allegations that Morim converted customer assets and engaged ...
Continue reading "JP Morgan's Farid Morim Barred After Conversion Investigation" »

Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations

FINRA barred Joseph C. Farah, formerly of Gold Coast Securities in Irvine, California, for excessive and unsuitable trading in a customer's account, failing to notify his firm of discretionary ...
Continue reading "Joseph Farah Barred for Unsuitable and Excessive Trading, Undisclosed Outside Business Activity, and Misrepresentations" »

Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity

FINRA barred former Morgan Stanley broker Guillermo William Valladolid after he refused to provide requested information to investigators as they were investigating allegations that he improperly sold ...
Continue reading "Punished by California Bureau of Real Estate, Guillermo Valladolid Barred for Undisclosed Outside Business Activity" »

FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity

In 2016, FINRA opened an investigation into former JP Morgan (Beverly Hills, CA) Vice President Farid Morim's alleged conversion of customer assets and alleged engagement in undisclosed outside ...
Continue reading "FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity" »

Bae Keun Yu Suspended for Undisclosed Outside Securities Business

FINRA suspended former Kayan Securities, Inc. broker Bae Keun Yu (aka Byron Yu) of Los Angeles for failing to disclose his involvement with Optima Koam Investments, Inc., an outside business activity ...
Continue reading "Bae Keun Yu Suspended for Undisclosed Outside Securities Business" »

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" »

Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns

FINRA fined, suspended, and ordered former Securities America, Inc. broker Michael Anton Crowe of Mesa, Arizona pay disgorgment for failing to disclose a private securities transaction for ...
Continue reading "Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns" »

Charles Cumber Sanctioned for Undisclosed Outside Business Activity and False Attestation

FINRA fined Brokers International Financial Services, LLC representative Charles Anderson Cumber, Jr. of the firm's Albuquerque, New Mexico branch, for undisclosed selling away from his ...
Continue reading "Charles Cumber Sanctioned for Undisclosed Outside Business Activity and False Attestation" »
93 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next
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