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Recent Posts in Restricted Stock Category

Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security

FINRA suspended Jonathan Russell Belden, formerly a broker at Merrill Lynch's Oakland branch, for effecting at least 200 discretionary trades in client accounts without written permission to do ...
Continue reading "Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security" »

Concentration Risk: The Implications of Putting All Your Eggs in One Basket

Concentration risk occurs when a large portion of a portfolio's holdings is in a particular investment relative to the overall portfolio. This can be caused or perpetuated through: >> ...
Continue reading "Concentration Risk: The Implications of Putting All Your Eggs in One Basket" »

Private Placement Offerings Require Research and Contemplation of Risk

FINRA issued an investor alert Tuesday regarding private placements and the risks inherent in such securities. The private placement alert warns of the dangers of investing in such non-public ...
Continue reading "Private Placement Offerings Require Research and Contemplation of Risk" »

Discipline: Midas Securities & Registered Principal Jay S. Lee Disciplined for Unlawful, Irresponsible Conduct

Midas Securities & Registered Principal Jay S. Lee Disciplined for Unlawful, Irresponsible Conduct The Financial Industry Regulatory Authority (FINRA) fined the firm Midas Securities, LLC $80,000 ...
Continue reading "Discipline: Midas Securities & Registered Principal Jay S. Lee Disciplined for Unlawful, Irresponsible Conduct" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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