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Recent Posts in REITs Category

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

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" »

FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities

FINRA identified several sales practice risks and investor protection points of emphasis in its 2019 risk monitoring and examination priorities letter, building upon a 2018 decision to concentrate on ...
Continue reading "FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities" »

FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations

FINRA's 2018 year-end Examination Findings Report identified several problem areas in the securities industry relative to broker and firm interactions with retail investors, including ...
Continue reading "FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations" »

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" »

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" »

Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing

With Wells Fargo's credit card and savings divisions already disciplined by the Federal Reserve over a fake account scandal during which the bank opened bogus accounts on behalf of its customers, ...
Continue reading "Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing" »

Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages

Already under fire for dishonest and unethical practices, an InvestmentNews report suggests that Newbridge Securities Corp could be the subject of several dozen investor complaints from Philadelphia ...
Continue reading "Newbridge Could Face Philadelphia Public Employee Suits Alleging Millions in Damages" »

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" »

SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations

The Commonwealth of Massachusetts' Securities Division charged SII Investments, Inc. with dishonest and unethical conduct, including supervisory failures, in allowing "systematic" ...
Continue reading "SII Investments Charged with REIT Supervisory Failures in Liquid Net Worth Overvaluations" »

With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended

FINRA fined and suspended former Centaurus Financial, Inc. and Brookstreet Securities Corporation (both Newport Beach, CA) broker Tiffany Ann De Ruosi (aka Tiffany DeRuosi, who has since married and ...
Continue reading "With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended" »

John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions

FINRA suspended former Finance 500, Inc. (Irvine, California) broker John Joseph Kostic Jr, fined him $10,000 and ordered disgorgement for Kostic's participation in private securities transactions ...
Continue reading "John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions" »

PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale

The Pennsylvania Department of Banking and Securities fined Austin Richard Dutton Jr (doing business as Bridge Valley Financial Services, LLC) $200,000 for engaging in dishonest or unethical practices ...
Continue reading "PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale" »

FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds

Former Sterne, Agee & Leach, Inc. and Stifel Nicolaus & Co. broker James Keith Cox consented to FINRA's findings that he made unsuitable recommendations regarding variable annuity (VA) ...
Continue reading "FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds" »

Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering

After defrauding clients out of $1.1 million by pretending to invest in a real estate investment trust (REIT) and gold coins—including one terminally ill customer whose primary objective was to ...
Continue reading "Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering" »

LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu

LPL Financial settled charges with the New Hampshire Bureau of Securities Regulation related to unsuitable and unlawful sales of non-traded real estate investment trusts (REITs), and for failing to ...
Continue reading "LPL Settles Over Non-Traded REIT Misconduct, Possible $8 Million Payout for Latest LPL Snafu" »

Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine

FINRA ordered Purshe Kaplan Sterling Investments to pay $3.4 million in restitution to a Native American tribe that paid excessive sales charges on fraudulent non-traded real estate investment trust ...
Continue reading "Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine" »

Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses

One month and four days after filing a complaint alleging that Kelly Clayton Althar made unsuitable recommendations and excessively traded an elderly client's account at Financial West Group in ...
Continue reading "Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses" »

New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"

The complex product known as a variable annuity has become a little more complicated with the introduction of a new type of VA known as a buffer annuity. Buffers, like conventional VAs, are highly ...
Continue reading "New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"" »

Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts

FINRA filed a complaint alleging that former Financial West Group (San Francisco) and Paulson Investment Company (Novato, CA) broker Kelly Clayton Althar made unsuitable recommendations and ...
Continue reading "Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts" »

Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments

FINRA censured and fined VFG Securities, Inc. and additionally suspended VFG (Vanclef Financial Group) CEO Jason Bryce Vanclef of Culver City, CA, for making inaccurate and misleading claims ...
Continue reading "Jason Vanclef, VFG Securities Sanctioned for Making False Claims in Book Promoting REITs and DPP Investments" »

John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer

FINRA barred John Stuart Hudnall, formerly of U.S. Bancorp Investments and BancWest Investment Services' San Francisco, California branches, for participating in an undisclosed and unapproved ...
Continue reading "John Hudnall Barred for Selling Away a REIT Investment to Elderly BancWest Customer" »

JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice

With the SEC's recent issuance of a Wells Notice against the troubled Texas real estate investment trust (REIT) known as United Development Funding IV, or UDF IV, combined with NASDAQ's ...
Continue reading "JWE Investigating Ponzi-Like Scheme Involving UDF IV REITs as SEC Issues Wells Notice" »
77 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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