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Recent Posts in SEC Category

109 results found. Viewing page 1 of 5. Go to page 1 2 3 4 5   Next

Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs

The Securities and Exchange Commission fined Wedbush Securities of Los Angeles $8.1 million, including disgorgement, interest, and civil penalties, as part of a crackdown of the firm's improper ...
Continue reading "Wedbush's Latest Penalty is an $8.1 Million SEC Fine for Improper Handling of ADRs" »

Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients

Finding that Southern California investment adviser Craig Arsenault defrauded customers while associated with Atlas Capital Management, SEC staff barred Arsenault, writing that Arsenault committed his ...
Continue reading "Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients" »

Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud

The SEC censured and ordered Wedbush Securities to pay a $250,000 penalty for failing to supervise broker Timary Delorme in Wedbush's Los Angeles office. In the twilight of her 40-year career with ...
Continue reading "Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud" »

SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud

Two months after his arrest for fraud and forgery in an alleged Ponzi scheme targeting "particularly vulnerable" clients, including elderly investors and those with diminished mental ...
Continue reading "SEC Joins FINRA in Barring Arrested WF Broker John Schmidt over Elder Fraud" »

Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud

One year after the SEC barred ex-Merrill Lynch and RBC Capital broker Thomas Joseph Buck from the securities industry (and three years after FINRA barred him for the same), a federal judge sentenced ...
Continue reading "Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud" »

Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study

A recent InvestmentNews editorial illustrates that broker-dealers may still be liable for the actions of its brokers, even if the rogue broker sells away from the firm or otherwise engages non-clients ...
Continue reading "Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study" »

John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud

In a textbook example of red flags and warning signs to watch out for, prosectors charged former Wells Fargo Advisors Financial Network representative John Gregory Schmidt with 128 felony counts, ...
Continue reading "John Gregory Schmidt Arrested, Accused of Elder Abuse, $1.1 Million Fraud" »

2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks

The Securities and Exchange Commission announced its 2019 examination priorities, with an emphasis on protecting investors—especially senior clients and retirement accounts—from excessive ...
Continue reading "2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks" »

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" »

LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud

The US District Court for Colorado sentenced former LPL Financial representative Sonya Delora Camarco to 20 years in prison for stealing several millions of dollars from clients between 2013 and 2017 ...
Continue reading "LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud" »

SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme

The Securities and Exchange Commissioner barred San Diego's Paul Thomas Rampoldi from acting as a broker, several months after Rampoldi's conviction in US District Court for the Southern ...
Continue reading "SEC Charges Barred First Allied Broker Paul Rampoldi, Convicted of Fraud in Ardea Scheme" »

Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme

The Securities and Exchange Commission alleged Ladenburgh Thalmann Financial Services chairman and largest shareholder Phillip Frost and a handful of co-defendants with perpetrating a series of ...
Continue reading "Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme" »

SEC Bars BKS Advisors' Roger Denha for Fraudulent Cherry-Picking Trade Allocation Scheme

The SEC barred Brandt, Kelly & Simmons Securities broker and BKS Advisors investment adviser Roger Thomas Denha for engaging in a fraudulent trade allocation scheme known as "cherry ...
Continue reading "SEC Bars BKS Advisors' Roger Denha for Fraudulent Cherry-Picking Trade Allocation Scheme" »

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" »

Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme

The Securities and Exchange Commission, in a civil complaint, charged Midtown Partners broker Kevin Patrick Gillespie and four others in a series of microcap fraud schemes that netted more than $10 ...
Continue reading "Midtown Partners' Kevin Gillespie Charged by SEC in $10 Million Microcap Fraud Scheme" »

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" »

$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought

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" »

SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills

The SEC instituted administrative proceedings ordering former WealthCFO operations manager Lauramarie Colangelo barred from the securities industry in relation to an action against WealthCFO, LLC and ...
Continue reading "SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills" »

Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk

Investing on margin—which means investing funds that are borrowed from a brokerage firm—can look attractive because of the potential for great returns. On the other hand, buying on margin ...
Continue reading "Gross Margin Debt Climbing at an Unsustainable Rate, Placing Investors at Greater Risk" »

SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash

Over two years before Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV) lost 95% of its value this February, the Securities & Exchange Commission ...
Continue reading "SEC Warned of Volatility-Linked Exchange-Traded Notes' Complexity Before XIV Crash" »

'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk

Bemoaning the "volatility virus" known as XIV—or Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note—the Financial Times shed the spotlight on an ...
Continue reading "'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk" »

Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations

Wells Fargo announced its Board of Directors is reviewing whether the firm made inappropriate referrals or recommendations in regards to 401(k) plan participants, alternative investments, or other ...
Continue reading "Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations" »

OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final

An appealed disciplinary decision barring Richard Daniel Tabizon II of Rosemead, California from the securities industry became final, affirming FINRA's decision to expel Tabizon for directing a ...
Continue reading "OHO Decision Barring Richard Tabizon For Altered Compliance Forms, Lying to FINRA, Personal E-mail Use Becomes Final" »

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" »
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