Recent Posts in Radio Shows Category
Posted on Nov 23, 2018 By The Law Offices of Jonathan W. Evans & Associates
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" »
Posted on Jun 8, 2018 By The Law Offices of Jonathan W. Evans & Associates
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" »
Posted on Jan 5, 2018 By Michael Edmiston
FINRA fined Raymond James $2 million after finding that a flawed e-mail review system allowed millions of e-mails to evade adequate review, creating "unreasonable risk" that misconduct by ...
Continue reading "Raymond James Fined $2 Million for Failing to Supervise E-mail Communications" »
Posted on Sep 18, 2017 By Michael Edmiston
John Kaleihiehie Kai, formerly of First Allied Securities' Hilo, Hawaii branch, and who once challenged potential clients to Google him before investing, has himself received a permanent bar from ...
Continue reading ""Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation" »
Posted on Jun 23, 2017 By Michael Edmiston
FINRA filed a complaint against former National Securities Corporation (San Diego, CA) broker Kyle Patrick Harrington and assistant Linda Milberger accusing the duo of concealing Harrington's ...
Continue reading "Complaint Charges Kyle Harrington, Linda Milberger with Deception, Conversion, Concealment, Selling Away" »
Posted on Jul 9, 2015 By Michael Edmiston
Securities regulators in Massachusetts charged Securities America and advisor Barry Graham Armstrong with running a "grossly deceptive" radio campaign targeted at vulnerable senior citizens. ...
Continue reading "Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors" »
Posted on May 12, 2015 By Michael Edmiston
The SEC filed a complaint against Christopher A. Novinger and Brady J. Speers of the NFS Group, LLC (aka Novers Financial and Safe Retirement Experts), ICAN Investment Group, LLC, and Speers Financial ...
Continue reading "SEC Charges Radio Hosts Christopher A. Novinger, Brady J. Speers and Their Companies with Fraudulent Life Settlement Interest Sales, Making False Claims to Investors" »
Posted on Dec 31, 2013 By Michael Edmiston
FINRA barred Milkie Ferguson Investments, Inc. broker Scott Schroeder of Los Angeles, California for making unsuitable recommendations to multiple elderly customers. Specifically, Schroeder allegedly ...
Continue reading "Scott Donovan Schroeder Barred for Unsuitable Investment Recommendations to Elderly Customers, Material Misrepresentations and Omissions of Fact" »
Posted on Jun 18, 2013 By Michael Edmiston
Over the past decade, FINRA has been active in regulating firms' and brokers' advertising communications with the public. For instance, FINRA Rules 2212 (use of rankings in retail ...
Continue reading "Advice on Air: Misleading Advertising, Broker Misconduct and the Radio" »