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Recent Posts in Wire Fraud Category

27 results found. Viewing page 1 of 2. Go to page 1 2   Next

Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization

FINRA fined and suspended former Wells Fargo Clearing Services (Carlsbad, CA) broker Annemarie Thomas aka Anne Marie Seeman for her role in facilitating a $100,000 wire transfer by falsely stating the ...
Continue reading "Annemarie Thomas Suspended for Facilitating Wire Without Proper Authorization" »

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" »

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" »

Nancy Johnson Sanctioned for Repeated False Statements to Morgan Stanley in Fraudulent Wire Transfer to Imposter

Former Morgan Stanley broker Nancy L. Johnson allegedly provided the firm's Greenwood Village, Colorado branch with false information on multiple occasions, resulting in a wire transfer of $86,000 ...
Continue reading "Nancy Johnson Sanctioned for Repeated False Statements to Morgan Stanley in Fraudulent Wire Transfer to Imposter" »

Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme

Former broker Stephen Skeffington Eubanks of Bright Trading, LLC's Las Vegas, Nevada branch received a 30-month prison sentence and $437,609 restitution order after a US District Court found him ...
Continue reading "Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme" »

Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering

After defrauding clients out of $1.1 million by pretending to invest in a real estate investment trust (REIT) and gold coins—including one terminally ill customer whose primary objective was to ...
Continue reading "Ex-Ameriprise Broker Mark Francis Speakman Pleads Guilty to REIT Wire Fraud, Money Laundering" »

Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme

FINRA suspended former Red Ridge Securities CEO and Chief Compliance Officer Brent David Hurt for failing to supervise broker Eric William Johnson, whom FINRA barred for misappropriating over $1 ...
Continue reading "Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme" »

Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients

Former Merrill Lynch broker Alec J Rivera entered a guilty plea to charges of wire fraud for transferring over $1 million out of clients' investment accounts without their knowledge or consent. ...
Continue reading "Ex-Merrill Lynch Broker Alec Rivera Pleads Guilty to $1 Million Theft from Clients" »

Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud

After FINRA barred former LPL Financial broker Robert Neil Tricarico for failing to cooperate with an investigation, Tricarico pled guilty in federal court to one count of wire fraud and received a ...
Continue reading "Ex-LPL Broker Robert Tricarico Convicted, Sentenced for Stealing $1.2 Million from Elderly Clients, Wire Fraud" »

Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations

18 months after ordering Oppenheimer & Co. Inc. to pay $2.5 million in fines and $1.25m in restitution for failing to supervise ex-rep Mark Christopher Hotton, FINRA once again has sanctioned ...
Continue reading "Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations" »

FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers

FINRA fined Ameriprise Financial Services, Inc. $850,000 for failing to supervise and detect former broker Justin Matthew Weseloh's conversion of funds from multiple customer brokerage accounts, ...
Continue reading "FINRA Fines Ameriprise Financial $850k over Rep & Manager Weseloh's Conversion of $370,000 from Customers" »

Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200

FINRA suspended broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, CA branch, and fined him $15,000 for failing to verify the identity of a customer prior to executing a wire ...
Continue reading "Ex-Merrill Lynch Broker John Arnold Sanctioned After His False Statements, Procedural Failures Allow Fraudster to Steal $127,200" »

Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients

Former JPMorgan Chase & Co. broker Michael Oppenheim, charged with multiple counts of fraud over allegations that he stole $20 million from customers—and schemed to cover it up—reached ...
Continue reading "Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients" »

Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft

FINRA ordered Fidelity Brokerage Services LLC to pay over $1 million for failing to follow up on red flags to detect or prevent theft from senior investors. Fidelity must pay a $500,000 fine and ...
Continue reading "Fidelity Brokerage Services Ordered to Pay $1 Million for Supervisory Failures Related to Lisa Lewis' Elder Theft" »

New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk

FINRA issued an investor alert on binary options trading, pointing to similar Commodity Futures Trading Commission (CFTC) and SEC alerts that already warn investors as to the dangers and extreme risk ...
Continue reading "New FINRA Investor Alert Warns of All-or-Nothing or Binary Options Trading Fraud Risk" »

FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200

FINRA filed a disciplinary complaint against broker John Joseph Arnold, formerly of Merrill Lynch's Newport Beach, California branch, alleging that he failed to confirm the identity of a customer ...
Continue reading "FINRA Files Complaint Against John Joseph Arnold, Alleging His False Statements Allowed Imposter to Steal $127,200" »

Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton

FINRA sanctioned brokerage firm Oppenheimer & Co. Inc. a total of $3.75 million—which includes a $2.5m fine and $1.25m in restitution—for failing to supervise former broker Mark ...
Continue reading "Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton" »

Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme

Former UBS Financial Services Inc. investment adviser Donna Jessee Tucker pled guilty to wire fraud and tax evasion in federal court, admitting that she stole up to $1 million from elderly clients. ...
Continue reading "Ex-UBS Broker Donna Jessee Tucker Barred, Convicted of Fraud for Stealing from Elderly in Ponzi-like Scheme" »

2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds

ThinkAdvisor released its list of the 12 worst financial advisors in America for 2014, featuring a lineup of alleged scammers and fraudsters who duped victims out of millions of dollars, targeted ...
Continue reading "2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds" »

Magnolia Gaerlan Fined & Suspended for Effecting Unauthorized Wire Transfers

FINRA fined and suspended Morgan Stanley sales assistant Magnolia Umangil Gaerlan of El Segundo, California for effecting multiple wire transfers to an unaffiliated third party account without proper ...
Continue reading "Magnolia Gaerlan Fined & Suspended for Effecting Unauthorized Wire Transfers" »

Girard Securities Fined for Supervisory Failures Concerning Fraud Prevention Tactics

FINRA fined San Diego, California-based Girard Securities, Inc. for failing to design systems, including written supervisory procedures (WSPs), to prevent fraudulent third party wire transfer ...
Continue reading "Girard Securities Fined for Supervisory Failures Concerning Fraud Prevention Tactics" »

Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers

FINRA barred California broker Patrick Joseph Donohue, formerly of Morgan Stanley Smith Barney, for engaging in an outside business activity without providing written notice to his firm, making false ...
Continue reading "Patrick Joseph Donohue Barred for Prohibited Business Activities with Elderly Clients, False Statements & Unauthorized Wire Transfers" »

DeCarla Shevon Mathis Fined and Suspended for Fraudulent $100,000 Wire Transfers

FINRA suspended former Wells Fargo Advisors, LLC general securities representative DeCarla Shevon Mathis for effecting e-mail-initiated wire transfers totaling over $100,000 after failing to verbally ...
Continue reading "DeCarla Shevon Mathis Fined and Suspended for Fraudulent $100,000 Wire Transfers" »

Jennifer Marie Burton Fined and Suspended for Falsely Claiming Customer Correspondence, Leading to Improper Wire Transfers

FINRA fined Wachovia/Wells Fargo broker Jennifer Marie Burton of Los Angeles, California and suspended her for allegedly stating on Wachovia Securities (since merged with Wells Fargo Advisors, LLC) ...
Continue reading "Jennifer Marie Burton Fined and Suspended for Falsely Claiming Customer Correspondence, Leading to Improper Wire Transfers" »

Roman J Sledziejowski Barred for Converting $4.8 Million in Fraudulent Scheme

FINRA barred TWS Financial, LLC President and Owner Roman Jerzy Sledziejowski for allegedly converting and/or misusing funds from multiple customers as part of a fraudulent scheme. The Authority ...
Continue reading "Roman J Sledziejowski Barred for Converting $4.8 Million in Fraudulent Scheme" »
27 results found. Viewing page 1 of 2. Go to page 1 2   Next
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