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 Private Placements Category

109 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   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" »

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" »

Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions

FINRA fined Luke Andrew Powell for participating in private securities transactions totaling $350,000 without providing proper written notice to his firm, Flying Cloud Securities of San Francisco, ...
Continue reading "Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions" »

Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation

FINRA barred former Stifel, Nicolaus & Company broker Stephen Thomas Hurtuk for failing to cooperate with an investigation into allegations that he made unsuitable recommendations to customers in ...
Continue reading "Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation" »

Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website

FINRA fined and suspended Frank Thomas Marino, formerly of Privex Securities in Lake Forest and Marv Capital of Newport Beach, CA, for operating or helping to administer a website for a cannabis ...
Continue reading "Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website" »

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" »

After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP

With a pending SEC fraud charge to his name, FINRA barred Robert Russel "Rusty" Tweed of Glendale, California from the securities industry, finding he negligently made false and misleading ...
Continue reading "After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP" »

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" »

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" »

Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts

FINRA barred former Independent Financial Group and Sandlapper Securities, broker Kyusun Kim for unsuitably recommending that a number of elderly and retiring customers liquidate their 401(k) and ...
Continue reading "Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts" »

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" »

$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought

An InvestmentNews report suggests that the $1.2 billion Ponzi and fraud scheme the SEC in January charged Robert H Shapiro (Sherman Oaks, California, and Aspen, Colorado)'s Woodbridge Group of ...
Continue reading "$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought" »

Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts

The State of Arizona indicted former AXA Advisors, LLC broker Howard Milton Price III, charging him with three felonies, including fraud and theft, for allegedly stealing $475,000 from the IRA ...
Continue reading "Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts" »

DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers

Former Royal Alliance Associates broker Gary John Basralian, barred from the securities industry in March 2018, faces criminal charges including wire fraud and investment adviser fraud for allegedly ...
Continue reading "DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers" »

SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills

The SEC instituted administrative proceedings ordering former WealthCFO operations manager Lauramarie Colangelo barred from the securities industry in relation to an action against WealthCFO, LLC and ...
Continue reading "SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills" »

Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities

LPL Financial reached settlement with the North American State Securities Administrators Association (NASAA) to pay nearly $26 million in fines and penalties for selling unregistered securities not ...
Continue reading "Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities" »

FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients

FBI agents arrested former Ameriprise Financial Services representative Li Lin Hsu of Diamond Bar, California and charged her with mail fraud, wire fraud, obstruction of justice, and money laundering. ...
Continue reading "FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients" »

Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm

FINRA fined and suspended former Raymond James Financial Services broker and registered supervisor Michael Murphy Hurtgen for soliciting firm customers to invest in private placements away from the ...
Continue reading "Michael Hurtgen Sanctioned for Soliciting Raymond James Customers to Invest Away from Firm" »

Darrell Rideaux Barred During Investigation into Selling Away Allegations

FINRA barred Southern California broker Darrell Walter Rideaux following an investigation into allegations that he solicited private placement investments away from Morgan Stanley, his firm at the ...
Continue reading "Darrell Rideaux Barred During Investigation into Selling Away Allegations" »

Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds

While Automotive News portrayed GPB Capital Holdings' success in the auto dealership investment market in the July 2017 article, " GPB Thrives Under The Radar, " GPB filed a lawsuit just ...
Continue reading "Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds" »

SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint

After originally charging Ash Narayan of Newport Coast, California and The Ticket Reserve, Inc. in a multi-million dollar fraud scheme targeting prominent sports stars that investigators say resembled ...
Continue reading "SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint" »

SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors

The SEC formally charged Woodbridge Group of Companies and owner Robert H Shapiro of Sherman Oaks, California and Aspen, Colorado with securities fraud, ordering their assets frozen and alleging the ...
Continue reading "SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors" »

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-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions

FINRA barred Menlo Park, CA broker Leslie Rhodes Koonce for falsely denying participation in private securities transactions while associated with LPL Financial in Northern California. Since being ...
Continue reading "Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions" »

Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments

FINRA fined and suspended Steven Quoy, of Spencer Edwards, Inc. in Centennial, Colorado, for distributing issuer-prepared sales materials to potential customers that were misleading, omitted material ...
Continue reading "Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments" »
109 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   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: