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Recent Posts in Risk Category

151 results found. Viewing page 1 of 7. Go to page 1 2 3 4 5 6 7   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." »

Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California

With 14 customer disputes and millions paid in settlements since 2015 surrounding allegations of unsuitable recommendations, unauthorized trading, overconcentration, abuse of margin, fraud, elder ...
Continue reading "Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California" »

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" »

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" »

FINRA and SEC Launch Investigation of GPB Capital Holdings

Two months after Massachusetts regulator William Galvin began investigating GPB over its illiquid, high-risk, and high-commission alternative investment sales, FINRA and SEC personnel have taken up ...
Continue reading "FINRA and SEC Launch Investigation of GPB Capital Holdings" »

Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018

The 2018 list of worst performing mutual funds and ETFs features several funds in the emerging and international markets sector, as well as securities related to gold, energy, and natural resources. A ...
Continue reading "Emerging Markets, Resources Top Worst-Performing Mutual Funds and ETFs of 2018" »

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" »

Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses

FINRA barred former Financial West Group (Los Angeles, CA) broker Sean J Waters for excessive trading in his elderly client's individual and IRA accounts with reckless disregard for his senior ...
Continue reading "Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses" »

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" »

San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations

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" »

CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda

Barred from FINRA in December 2017 for unsuitable over-concentration in speculative oil and gas securities, resulting in significant losses for elderly customers, Anaheim's Charles Henry Frieda no ...
Continue reading "CFP Board Issues Revocation to Barred Wells Fargo Broker Charles Frieda" »

UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis

For many investors with conservative-to-moderate risk tolerance looking for investment income, a so-called "passive fund" may often be the way to go: place money in low-cost products and ...
Continue reading "UNG Leads Worst Performing Passive Funds Since 2008's Financial Crisis" »

Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation

FINRA barred former Stifel, Nicolaus & Company broker Stephen Thomas Hurtuk for failing to cooperate with an investigation into allegations that he made unsuitable recommendations to customers in ...
Continue reading "Stephen T Hurtuk Barred During Unsuitable Recommendations 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" »

David Unsworth Sanctioned for Undisclosed Private Securities Sales

FINRA fined and suspended David Woods "Chip" Unsworth Jr., formerly of National Securities Corporation in San Francisco, California, for failing to disclose a private securities transactions ...
Continue reading "David Unsworth Sanctioned for Undisclosed Private Securities Sales" »

Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors

The Securities and Exchange Commission charged five salespeople for posing as financial advisers even though they were not registered with the Commission, selling $243 million-worth of Woodbridge ...
Continue reading "Massive Woodbridge Fraud Grows as 5 Charged With Selling $243 Million of Ponzi Product to 1,600 Investors" »

SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud

The Securities and Exchange Commission instituted cease-and-desist proceedings against Ameriprise Financial Services, finding that the firm failed to adopt and implement policies and procedures to ...
Continue reading "SEC Issues Ameriprise Financial Cease-and-Desist Order over Failure to Detect Misappropriation and Fraud" »

Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website

FINRA fined and suspended Frank Thomas Marino, formerly of Privex Securities in Lake Forest and Marv Capital of Newport Beach, CA, for operating or helping to administer a website for a cannabis ...
Continue reading "Frank Marino Sanctioned for False, Misleading, and Inaccurate Claims on Cannabis Investment Company Website" »

National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct

FINRA fined four firms—National Planning Corporation, Investment Centers of America, SII Investments, and IFC Holdings aka INVEST Financial Corporation—a total of $1.7 million and ordered ...
Continue reading "National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct" »

Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018

InvestmentNews compiled a list of the 10 funds that saw the largest losses over the first half of 2018, citing volatility as the biggest story thus far this year. For instance, a slew of ...
Continue reading "Financial, Energy Sectors Feature in 10 Funds with Largest Losses in First Half of 2018" »

FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations

FINRA barred former Financial West Group and Western International Securities (both Los Angeles, California) broker Paul Edward Soll for refusing to cooperate with an investigation involving trading ...
Continue reading "FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock 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" »

Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges

Having found that Wells Fargo Advisors' improper sales of complex financial products imposed "substantial costs" on the firm's retail customers while generating commissions for the ...
Continue reading "Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges" »

Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients

FINRA barred former CUNA Brokerage Services representative Stacy Elizabeth Cheney-Jamison, aka Stacy Edwards, Stacy Kuczynski, and Stacy Sang, for failing to cooperate with investigators during an ...
Continue reading "Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients" »
151 results found. Viewing page 1 of 7. Go to page 1 2 3 4 5 6 7   Next
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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