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Recent Posts in Unauthorized Trading Category

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

Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study

On the heels of FINRA's January 2019 complaint charging former Wedbush Securities broker William Mark Heiden of Southern California with unauthorized trading in elderly clients' brokerage ...
Continue reading "Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study" »

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" »

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" »

Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents

FINRA fined and suspended former Edward Jones and Waddell & Reed broker Donald Logan for exercising 365 discretionary trades in 42 customer accounts from 2014 through 2018, all without ...
Continue reading "Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents" »

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" »

Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades

FINRA fined and suspended former Ameritas Investment Corp. broker Daniel K Kittner for effecting approximately 700 trades in six accounts without first contacting his customers. The findings indicate ...
Continue reading "Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades" »

Ex-Wells Fargo Broker Joseph Eschleman Sanctioned for Unauthorized Use of Discretion

FINRA fined and suspended ex-Wells Fargo Clearing Services and current Purshe Kaplan Sterling Investments (both Sacramento, CA) broker Joseph Frederick Eschleman for exercising discretion without ...
Continue reading "Ex-Wells Fargo Broker Joseph Eschleman Sanctioned for Unauthorized Use of Discretion" »

IFG's Dennis Contrestano Cited for Unauthorized Transactions at Prior Firm RBC

FINRA fined and suspended Independent Financial Group (Fresno, CA) broker Dennis Anthony Contrestano for a series of unauthorized transactions while associated with prior firm RBC Capital, also of ...
Continue reading "IFG's Dennis Contrestano Cited for Unauthorized Transactions at Prior Firm RBC" »

Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security

FINRA suspended Jonathan Russell Belden, formerly a broker at Merrill Lynch's Oakland branch, for effecting at least 200 discretionary trades in client accounts without written permission to do ...
Continue reading "Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security" »

In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation

Months after serving a suspension and paying fines and disgorgment to settle charges that he unsuitably recommended mutual funds in a customer's IRA account, FINRA barred former Westpark Capital, ...
Continue reading "In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation" »

David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award

FINRA barred former Madison Avenue Securities (San Diego, CA) broker David Lloyd Barber after finding he exercised discretion and effected unauthorized trades in customer accounts. The bar follows a ...
Continue reading "David Barber's Unauthorized Trades Prompts FINRA Bar, $2 Million Churning Award" »

Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck

SEC officials barred former Merrill Lynch and RBC Capital broker Thomas Joseph Buck, who pleaded guilty to overcharging clients in October and was previously barred by FINRA in 2015. The SEC in ...
Continue reading "Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck" »

Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages

FINRA fined and suspended former Ameriprise Financial Services representative Lorene Fairbanks aka Lorene Fairbanks Miller for improperly borrowing money from a client, and for exchanging business ...
Continue reading "Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages" »

Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading

FINRA barred former Morgan Stanley broker Charles Albert Dixon after he refused to cooperate with an investigation into his termination from the firm based on allegations that he employed discretion ...
Continue reading "Charles Dixon Barred After Termination from Morgan Stanley for Unauthorized Trading" »

John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial

FINRA fined and suspended former LPL Financial and Independent Financial Group broker John William "Bill" Bernard for improperly exercising discretion while associated with LPL Financial of ...
Continue reading "John William Bernard Sanctioned for Unauthorized Exercise of Discretion at LPL Financial" »

Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account

FINRA fined and suspended Joseph Gunnar & Co. broker and managing director Anthony J Sica for making unsuitable recommendations to an elderly customer living on a fixed income, resulting in an ...
Continue reading "Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account" »

Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud

Former Hudson Valley Capital Management co-owner Mark Joseph Gillis pleaded guilty to securities fraud after investigators charged him with scheming to steal nearly $400,000 from investors. FINRA ...
Continue reading "Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud" »

Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints

FINRA barred former RBC Capital Markets and Janey Montgomery Scott representative Lisa Jacqueline Lowi (Lisa Vineberg) after she failed to cooperate with an investigation concerning customer ...
Continue reading "Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints" »

Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure

FINRA barred former Newport Coast Securities (Irvine, California) broker George Jeffrey Dahl of Laguna Woods after he refused to provide testimony during an on-the-record interview. In 2016, FINRA ...
Continue reading "Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure" »

Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades

FINRA fined and suspended former Amerprise Financial Services brokers Jack B McBride and Stuart L Pearl for misconduct related to use of margin in customer accounts, while McBride additionally ...
Continue reading "Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades" »

Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado

The Colorado Securities Division charged former LPL Financial broker Sonya D Camarco aka Sonya D Fatchett of Colorado Springs with six counts of securities fraud and seven counts of theft. The ...
Continue reading "Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado" »

Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN

FINRA suspended former JP Morgan Securities broker Todd Jason Jones and fined him $15,000 for exercising discretion in customer accounts without authorization to purchase over $200,000-worth of ...
Continue reading "Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN" »

Joseph Yanofsky Fined $10k for Unauthorized Use of Discretion, Directing Unlicensed Subordinate to Enter Trades

FINRA suspended and fined former Merrill Lynch and current First Financial Equity Corporation (both of Greenwood Village, Colorado) broker Joseph "Joe" Ira Yanofsky for exercising discretion ...
Continue reading "Joseph Yanofsky Fined $10k for Unauthorized Use of Discretion, Directing Unlicensed Subordinate to Enter Trades" »

Facing Allegations of Fraud and Churning, Frederick Houck Suspended for Unauthorized Use of Discretion

FINRA suspended former Freedom Investment Corp. broker Frederick David Houck for improperly exercising discretion to effect nearly 500 transactions without firm authorization or permission and for ...
Continue reading "Facing Allegations of Fraud and Churning, Frederick Houck Suspended for Unauthorized Use of Discretion" »

SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme

Claiming that former LPL Financial broker Sonya Delora Camarco aka Sonya D Fatchett of the firm's Colorado Springs branch stole several millions of dollars from clients during a 13-year fraud ...
Continue reading "SEC Freezes Ex-LPL Broker Sonya D Camarco's Assets in Alleged $2.8 Million Fraud and Misappropriation Scheme" »
79 results found. Viewing page 1 of 4. Go to page 1 2 3 4   Next
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