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Recent Posts in Promissory Notes Category

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

John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales

FINRA fined and suspended former Foresters Equity Services (San Diego, CA) broker John Dale Ernst for engaging in undisclosed and unapproved private securities transactions in soliciting investors to ...
Continue reading "John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales" »

Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients

Finding that Southern California investment adviser Craig Arsenault defrauded customers while associated with Atlas Capital Management, SEC staff barred Arsenault, writing that Arsenault committed his ...
Continue reading "Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients" »

NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar

After a FINRA OHO hearing panel barred Amerprise Financial Services broker Jim Jinkook Seol ( CRD #2876279 ) of the firm's Irvine, CA branch for selling away from the firm by soliciting $100 ...
Continue reading "NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar" »

John Spach Barred for Trying to Settle Complaint Away from Firm

FINRA barred former Kestra Investment Services (Aliso Viejo, CA) broker John William Spach after he settled a customer dispute away from the firm and refused to cooperate with a subsequent ...
Continue reading "John Spach Barred for Trying to Settle Complaint Away from Firm" »

Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital

FINRA fined and suspended Thomas Edward Burns III for a series of errors on Alternative Investment Forms while at Crown Capital Securities (Orange, CA) that resulted in customer complaints and caused ...
Continue reading "Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital" »

Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study

A recent InvestmentNews editorial illustrates that broker-dealers may still be liable for the actions of its brokers, even if the rogue broker sells away from the firm or otherwise engages non-clients ...
Continue reading "Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study" »

Complaint Alleges Shopoff Securities Fraudulently Sold $12.6 Million of Promissory Notes

FINRA's Department of Enforcement alleges that William Anthony "Bill" Shopoff, Stephen Robert Shopoff, and their firm, Shopoff Securities of Irvine, California fraudulently sold nearly ...
Continue reading "Complaint Alleges Shopoff Securities Fraudulently Sold $12.6 Million of Promissory Notes" »

Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme

FINRA barred former Mutual Securities Inc. (Sacramento, CA) broker Gary Lyle Pevey for selling $1.11 million in Woodbridge promissory notes to 15 investors. Woodbridge is the name of the real estate- ...
Continue reading "Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme" »

SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme

FINRA-registered brokers Alan Harold New co-owner of Synergy Investment Services and Jeffrey L Wendel, formerly of Center Street Securities and Wendel Investment Network headline a list of 11 ...
Continue reading "SEC's Latest Los Angeles Complaint Charges 11 More in Woodbridge Ponzi Scheme" »

Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit

FINRA barred former MML Investors Services (Irvine, CA) broker Nicholas Randolph Radke after he failed to cooperate with an investigation into allegations that he participated in a private securities ...
Continue reading "Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit" »

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" »

David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation

FINRA barred former Signator Investors Inc. broker David Carl Ferwerda for failing to cooperate with its investigation into the $1.2 billion Ponzi scheme concerning the Woodbridge Group of Companies, ...
Continue reading "David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation" »

HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation

FINRA barred former HD Vest Investment Services brokers Jerry Davis Raines and Donna Lynn Barnard for failing to cooperate with staff investigating sales of promissory notes related to the Woodbridge ...
Continue reading "HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation" »

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" »

$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" »

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" »

Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate

FINRA barred former Western International Securities broker Bradley Carl Mascho for refusing to cooperate with an investigation into SEC allegations that he aided and abetted DJB Holdings aka ...
Continue reading "Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate" »

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" »

Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment

The Securities and Exchange Commission is investigating embattled California luxury real estate developer Woodbridge Group of Companies, LLC, with SEC officials claiming the company directly and ...
Continue reading "Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment" »

Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away

FINRA suspended former Morgan Stanley representative, and one-time pitcher for Major League Baseball's Philadelphia Phillies, Patrick Dennis Combs for eliciting a $500,000 investment in a ...
Continue reading "Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away" »
60 results found. Viewing page 1 of 3. Go to page 1 2 3   Next
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