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Recent Posts in Punitive Damages Category

FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint

Ascendiant Capital Markets, LLC of Irvine, California agreed to a fine of $20,000 FINRA imposed due to multiple failures and deficiencies, including inadequate supervisory procedures, failure to ...
Continue reading "FINRA Fines Ascendiant Capital Markets of Irvine, CA for Failure to Supervise, Inadequate Handling of Customer Complaint" »

FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors

FINRA will elect three members to its 24-member Board of Governors later this month, and one—Brian John Kovack of the firm Kovack Securities—says that, if elected, he plans not to ...
Continue reading "FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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