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Recent Posts in Switches Category

Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct

FINRA barred Frederick David Holloway of Holloway & Associates, Inc for improperly recommending unsuitable variable annuities (VA) exchanges to at least 39 clients, earning over $214,000 in ...
Continue reading "Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct" »

FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations

In December 2018, FINRA's year-end Examination Findings Report FINRA identified five problems with industry-wide variable annuity sales related to how firms recommend these funds to customers. ...
Continue reading "FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations" »

Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds

The Law Offices of Jonathan W. Evans & Associates is investigating FINRA broker Dennis Albert Mehringer Jr., formerly of Western International Securities in Pasadena, California, for ...
Continue reading "Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds" »

Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading

FINRA fined El Segundo, CA-headquartered Cetera Advisor Networks $1.4 million for a handful of violations and failures regarding broker Mark Charles Koehler's unsuitable and excessive trading of ...
Continue reading "Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading" »

Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures

FINRA fined Fifth Third Securities $4 million and ordered $2 million in restitution for suitability and related failures pertaining to the firm's variable annuity (VA) business. According to ...
Continue reading "Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures" »

Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi

FINRA fined and suspended former LPL Financial (Orem, UT) broker Brent Van Lott for purportedly facilitating a non-registered individual, Steven Heinz, in effecting variable annuities (VA) and mutual ...
Continue reading "Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi" »

Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures

FINRA sanctioned Morgan Stanley Smith Barney and ordered the firm to pay over $13 million—$3.25 million in fines and an additional $9.78 million in restitution to over 3,000 customers—for ...
Continue reading "Morgan Stanley Ordered to Pay Over $13 Million for Unit Investment Trust (UIT) Supervisory Failures" »

MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse

Massachusetts regulators charged LPL Financial with failing to supervise financial adviser Roger Salvatore Zullo, who the state says defrauded clients, lied to supervisors, fabricated LPL clients' ...
Continue reading "MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse" »

Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations

FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution and $3.75m in fines for a total of $13.75 million in sanctions over a series of mutual fund-related suitability violations ...
Continue reading "Barclays Capital Ordered to Pay $13.75 Million for Mutual Fund Suitability Violations" »

With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz

After 14 customers filed separate disputes alleging misrepresentation and falsification of statements and records in variable annuity (VA) transactions, FINRA filed a complaint against broker Anthony ...
Continue reading "With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz" »

JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching

FINRA ordered J.P. Turner & Company, LLC to pay $707,559 in restitution to 84 customers for unsuitable leveraged and inverse exchange-traded fund ("ETF") sales and for excessive mutual ...
Continue reading "JP Turner Ordered to Pay Over $700,000 in Restitution for Unsuitable Complex ETF Sales, Excessive Switching" »

Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading

FINRA fined broker Richard Grant Cody $27,500 and suspended him through January 6, 2014 after Cody was found to have engaged in unsuitable and excessive trading in customer accounts. The sanctions ...
Continue reading "Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading" »

Wedbush Securities Fined $375,000; Richard Anthony Lanni and Ronald Edward Vogel Fined and Suspended for Poor Supervisory Systems Related to Variable Annuities

The Financial Industry Regulatory Authority censured Wedbush Securities, Inc. of Los Angeles, California, fining the firm $375,000 for what FINRA deemed was a failure to supervise employees and ...
Continue reading "Wedbush Securities Fined $375,000; Richard Anthony Lanni and Ronald Edward Vogel Fined and Suspended for Poor Supervisory Systems Related to Variable Annuities" »

Thomas Michael Buehler Fined & Suspended for Lack of Supervision

The Financial Industry Regulatory Authority (FINRA) fined and suspended registered principal Thomas Michael Buehler of Alpharetta, Georgia for failing to take reasonable steps to supervise one of his ...
Continue reading "Thomas Michael Buehler Fined & Suspended for Lack of Supervision" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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