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Recent Posts in Securities America Category

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation

After Securities America discharged representative Bruce Page Barber of the firm's Colorado Springs branch based on allegations that he participated in an unapproved outside business activity and ...
Continue reading "Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation" »

Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties

FINRA fined and suspended Stephen "Steve" Samuel Salm of Securities America's Solana Beach, California branch for disclosing personal information about customers to a nonaffiliated third ...
Continue reading "Stephen Salm Sanctioned for Sharing Customers' Personal Info with 3rd Parties" »

FINRA Bars Timothy Ballard for Failing to Cooperate with Investigation

FINRA barred Danville, California broker Timothy David Ballard after he failed to respond to a request for information, and subsequently failed to request termination of a FINRA-imposed suspension. ...
Continue reading "FINRA Bars Timothy Ballard for Failing to Cooperate with Investigation" »

Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm

FINRA fined and suspended Victor Michel, formerly of Financial West Group in Westlake Village, CA, for using his personal non-firm e-mail account for correspondence with a firm customer concerning ...
Continue reading "Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm" »

Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes

FINRA fined La Vista-based broker-dealer Securities America $250,000 for failing to conduct adequate due diligence and former Securities America broker Stuart Horowitz for recommending and engaging in ...
Continue reading "Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes" »

7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers

A recent industry-wide study of financial advisers found that seven percent of all advisers have been disciplined for misconduct, such as trading in customer accounts without permission or making ...
Continue reading "7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers" »

FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs

FINRA barred former WFG Investments and Securities America supervisor Willard Lee Golightly aka Bill Golightly for failing to adequately respond to "numerous red flags" that one of his ...
Continue reading "FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs" »

FINRA Bars Former Securities America Broker Derek Lee Miller Over Unsuitable Trading Investigation

FINRA barred Derek Lee Miller, a former broker with the Redondo Beach, CA branch of Securities America, after he refused to cooperate with an investigation into charges of unsuitable trading. Records ...
Continue reading "FINRA Bars Former Securities America Broker Derek Lee Miller Over Unsuitable Trading Investigation" »

Securities America, Advisor Barry Armstrong Charged Over Grossly Deceptive Alzheimer's Ad Targeted at Seniors

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" »

Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account

Massachusetts Secretary of the Commonwealth William F. Galvin charged former Brookville Capital Partners LLC broker Christopher Frederic Veale for allegedly engaging in abusive sales practices ...
Continue reading "Massachusetts Charges Christopher Veale for Abusive Sales Practices & Churning in Elderly Client's Account" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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