California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog

Categories

legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Recent Posts in Selling Away Category

70 results found. Viewing page 1 of 3. Go to page 1 2 3   Next

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" »

Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions

FINRA fined Luke Andrew Powell for participating in private securities transactions totaling $350,000 without providing proper written notice to his firm, Flying Cloud Securities of San Francisco, ...
Continue reading "Luke Powell Sanctioned for Unauthorized Participation in $350,000 Private Securities Transactions" »

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" »

Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations

FINRA fined and suspended former Transamerica Financial Advisors (Thousand Oaks, CA) rep Roy Aurelio Gaytan for discretionary trading violations that took place in 2016 and 2017 in which he allegedly ...
Continue reading "Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations" »

Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions

FINRA fined and suspended former Growth Capital Services, Inc. (San Francisco) broker Kenny Danny Mezher for selling nearly $180,000 in limited partnership interests in an unapproved private security ...
Continue reading "Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions" »

Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm

FINRA barred former Geneos Wealth Management (Mesa, AZ) broker Bradley Joseph Tennison in connection with an investigation into recommending a customer wire $300,000 to an investment away from the ...
Continue reading "Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm" »

FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs

Nearly six months after Colorado regulators sanctioned former Taylor Capital Management brokers Dennis Mitchell Farrah and Mark Gregory Raezer for selling Madyson Capital real estate investment trust ...
Continue reading "FINRA Bars Taylor Capital's Dennis Farrah for Selling Away, Misrepresenting Madyson Capital REITs and LPs" »

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" »

FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity

Over 20 years since Harold Francis "Harry" Couglar, most recently of Montage Securities in San Diego, allegedly effected his first securities transaction at an account held at a ...
Continue reading "FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity" »

DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers

Former Royal Alliance Associates broker Gary John Basralian, barred from the securities industry in March 2018, faces criminal charges including wire fraud and investment adviser fraud for allegedly ...
Continue reading "DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers" »

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" »

FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients

FBI agents arrested former Ameriprise Financial Services representative Li Lin Hsu of Diamond Bar, California and charged her with mail fraud, wire fraud, obstruction of justice, and money laundering. ...
Continue reading "FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients" »

Darrell Rideaux Barred During Investigation into Selling Away Allegations

FINRA barred Southern California broker Darrell Walter Rideaux following an investigation into allegations that he solicited private placement investments away from Morgan Stanley, his firm at the ...
Continue reading "Darrell Rideaux Barred During Investigation into Selling Away Allegations" »

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions

FINRA barred Menlo Park, CA broker Leslie Rhodes Koonce for falsely denying participation in private securities transactions while associated with LPL Financial in Northern California. Since being ...
Continue reading "Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions" »

First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions

FINRA barred former First Allied Securities broker Masood "Mike" Husain Azad for allegedly failing to cooperate with an investigation into allegations he participated in unapproved ...
Continue reading "First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions" »

Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock

FINRA fined and suspended former Thomas Joseph Breslin Jr., formerly of LPL Financial's San Diego, California branch, for engaging in private securities transactions in a penny stock without ...
Continue reading "Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock" »

Bae Keun Yu Suspended for Undisclosed Outside Securities Business

FINRA suspended former Kayan Securities, Inc. broker Bae Keun Yu (aka Byron Yu) of Los Angeles for failing to disclose his involvement with Optima Koam Investments, Inc., an outside business activity ...
Continue reading "Bae Keun Yu Suspended for Undisclosed Outside Securities Business" »

Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions

After FINRA fined and suspended former NFP Advisor Services, LLC (Danville, CA) broker Robert Joseph Regan for selling unapproved private securities, the Certified Financial Planner (CFP) Board of ...
Continue reading "Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions" »

Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns

FINRA fined, suspended, and ordered former Securities America, Inc. broker Michael Anton Crowe of Mesa, Arizona pay disgorgment for failing to disclose a private securities transaction for ...
Continue reading "Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns" »

Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds

A FINRA arbitration panel ordered former Los Angeles-area broker Li-Lin Hsu of Ameriprise Financial Services to pay $675,000 in damages to her former employer, Ameriprise. The award is unusual as it ...
Continue reading "Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds" »

"Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation

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" »

William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss

FINRA barred William "Bill" August Glaser for failing to cooperate into an investigation surrounding his termination from National Planning Corporation of St. Albans Rd, Missouri. According ...
Continue reading "William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss" »

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" »
70 results found. Viewing page 1 of 3. Go to page 1 2 3   Next
accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: