Toll Free 888-527-3427

Local 818-760-9880

Home
Meet The Attorneys
- Jonathan W. Evans
- Michael S. Edmiston
Firm Overview
- In The News
- On Social Media
Securities
Testimonials
Recoveries Obtained
Site Search
Contact Us

Local Office 818-760-9880

Top

2020

Featured
Category
Month
Clear All

September 11, 2020 Stifel Nicolaus Broker Steven Rodemer to Pay $385,536 to Settle SEC Claims He Scammed Elderly Widow
September 02, 2020 Raymond James Broker Mark Boucher Accused of $2.2 Million Fraud, Stealing From Dead Client
June 15, 2020 Raymond James Broker Frederick Stow Charged with Fraud After $943,500 IRA Theft
April 25, 2020 Lost Money in Risky Oil & Gas Investments During COVID-19? We're Investigating Claims
April 24, 2020 Brokerages Stop Risk-Laden REIT Sales After Massive Coronavirus Losses
April 03, 2020 The Securities-Based Loan Margin Call Is "Exactly The Risk We Are Focused On," Says FINRA
February 29, 2020 Citing 'Widespread Failures,' SEC Fines Wells Fargo $35 Million for Unsuitable Inverse ETF Recommendations, Inadequate Supervision Leading to Millions of Dollars in Customer Losses
December 17, 2020 FINRA Charges Nicholas Baecker with Forging Customer Signatures on Forms
December 11, 2020 California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
December 09, 2020 FINRA Charges Gregory McCloskey aka Gregory Meier with Covering Up Improper Private Securities Transaction (PST) with a Second Improper PST
November 27, 2020 FINRA Cracks Down on Unit Investment Trust (UIT) Short-Term Trading Abuse at Stifel, Nicolaus & Company
November 25, 2020 FINRA Finds Variable Annuities, Life Insurance Liquidation Strategy Unsuitable, Cites ON Equity Sales Broker
November 20, 2020 American Portfolios Financial Services Fined for Unsuitable VXX Recommendations That Caused Customer Losses
November 17, 2020 SEC Issues Securities America Advisors Cease-and-Desist Order Over XIV, VIXY ETF Trades Resulting in Losses in Over 150 Client Accounts
November 13, 2020 SEC Fines Royal Alliance Associates Over Volatility Linked ETP Failures, Including iPath S&P 500 VIX ETN 'VXX'
November 10, 2020 Vonna Kay Husby Barred During Investigation into Undisclosed Bank Account Co-Owned With Elderly Customer
November 03, 2020 LPL Financial's Timothy Engelmann Sanctioned for Unauthorized Loan Through LLC
October 28, 2020 David Walters Cited for Outside Business, Private Securities Transactions
October 12, 2020 Stephen Whittaker Cited for Undisclosed Outside Business Activity
October 05, 2020 Kathleen Bott Barred After Investigation Into Theft Charges
October 03, 2020 SEC Fines Morgan Stanley $5 Million Over Short Sale Violations in Swaps Business
September 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
September 16, 2020 JP Morgan's Lauren Wing Cited for $314,000 of Unauthorized Trading in Senior's Account
September 06, 2020 Chih-Ming Huang Suspended After Failing to Disclose Felony Charge
September 03, 2020 Wells Fargo Variable Annuity Supervision Violations Net $2 Million in Fines and Restitution
September 01, 2020 LPL Financial's James Rapisarda Cited for Private Securities Transaction
August 27, 2020 SEC Fines Firm $1 Million Over High-Fee Mutual Fund Recommendations
August 24, 2020 FINRA Bars Terminated Brokers Lau, Winters, for Failing to Provide Information
August 20, 2020 Wedbush's David Hirons Accused of Unauthorized Trading
August 13, 2020 Ex-First Allied Broker Kimberly Barensten Cited for Charging Undisclosed VA Fees
August 04, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
July 29, 2020 Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
July 23, 2020 James Daughtry Barred in 'Potentially Fraudulent and Unauthorized Transactions' Investigation
July 14, 2020 Merrill Lynch, Charles Kenahan Under NH Investigation for $100+ Million Churning & Unauthorized Trading
July 11, 2020 JP Morgan's Adrienne Mak Barred Over Claims She Used Personal Email, Cell Phone to Communicate With Customers
July 08, 2020 Elizabeth Morrell Barred Over Fraudulent Woodbridge Group Ponzi Scheme
June 30, 2020 Barry Hartwyk Disciplined for Unauthorized Use of Discretion
June 27, 2020 Micah Patterson Disciplined for Future Income Payments (FIP) Solicitation
June 20, 2020 E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
June 19, 2020 Quinn Campbell Disciplined for Removing MetLife Customers' Private Info
June 11, 2020 Dee Dee Brooks Barred Over Fraudulent Woodbridge Ponzi Scheme, Future Income Payments Solicitations
June 09, 2020 CFP Board Disciplines California's Joel Davidman for Unauthorized Discretion, Alaska's Michael Shamburger and Rob Wedel for Multi-Million Dollar Misconduct
June 05, 2020 LPL's Donald Padilla Suspended for Circumventing Firm Supervision, Unapproved Email Accounts
June 02, 2020 Stifel Nicolaus to Pay $3.65 Million for Unsuitable Unit Investment Trust (UIT) Rollovers & Poor Supervision
May 23, 2020 SunTrust Investment Services to Pay $634,000 Over Unsuitable ETF Sales
May 20, 2020 Brokerage Warning Issued for Oil-Linked ETPs, Including US Oil Fund
May 15, 2020 Ameriprise Broker Arthur Hoffman Barred Following Fraud Complaint, Investigation
May 10, 2020 FINRA: LPL Financial Unsuitably Sold Elderly Clients Risky REITs After Broker Lied About Customers' Net Worth
May 07, 2020 Western International Securities Failed to Disclose Brokers' Financial Events Totaling $5.6 Million, Says FINRA
May 01, 2020 Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
April 23, 2020 Integrity Brokerage Services CEO Joshua Helmle Accused of Deliberately Defying FINRA, Allowing Disqualified Broker Marc Jaffe to Work While Ineligible and Serve While Unregistered
April 20, 2020 Wedbush Broker James Richards Cited for Supervision Failure Over Multi-Million Dollar Margin Deficits
April 16, 2020 CFP Board Suspends California's Michael Altobell & Richard LaBare
April 09, 2020 JP Morgan's Steven Lu Barred for Pretending to Befriend, Taking Advantage of Elderly Alzheimer's Client
April 08, 2020 Clare Cail Suspended for Altering Signed Account Documents, Submitting Falsified Form
April 06, 2020 Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
April 01, 2020 Caution Urged as UBS, HSBC Recommending Asian Structured Products to Top Clients
April 01, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles
March 31, 2020 Exchange-Traded Notes At Heightened Risk Due to COVID-19's Market Volatility
March 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
March 27, 2020 Excess Concentration Can Prove Disastrous During Economic Downturn
March 25, 2020 Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
March 24, 2020 Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
March 23, 2020 FINRA Sanctions Scott Kozak for Soliciting $1.2 Million Away from Firm Cetera, False Statements
March 23, 2020 COVID-19 Update
March 04, 2020 AXA Advisors' Billy Zhang Cited After Settling Misuse-of-Funds Complaint Away From Firm
March 02, 2020 Ronald Hannes Barred During Conversion Investigation
February 22, 2020 IFG Broker Martin David Batstone Barred for Fraud After Converting Client Funds
February 14, 2020 Commonwealth Income and Growth Fund at Heart of FINRA Bar for Misuse of Funds
February 06, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred
February 05, 2020 SoCal Ameriprise Broker Li Lin Hsu Sentenced for $8.2 Million Fraud
February 04, 2020 FINRA's Saction of Mason Gann Highlights Risks of Naked Puts Strategy
February 03, 2020 Royal Alliance Fined $400,000 Over $3.8 Million Theft from Customers
January 30, 2020 Kerry Wills Sanctioned for Borrowing $150k, Accepting Luxury "Travel Gifts" From Elderly Customer
January 27, 2020 FINRA Bars NYLife's Kari Bracy Over $300 Million Ponzi Scheme Future Income Payments Misrepresentation
January 23, 2020 Shlomo Strugano, Former First Allied Broker, Barred During Forgery Investigation
January 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
January 15, 2020 NEXT Financial Group Fined for Unsuitable Non-Traded REIT Sales
January 08, 2020 Barred Broker John Chrysadakis' Alleged Conversion at Mason's Lodge Illustrates Affinity Fraud Risk
January 06, 2020 FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures
January 02, 2020 First Financial Equity Corporation Sanctioned for Failing to Timely Disclose Financial Events, Supervisory Deficiencies

The Law Offices of Jonathan W. Evans & Associates

Connect With Us

Local Office

12711 Ventura Boulevard,
Suite 440,
Studio City, CA 91604

(818) 760-9880 [Map & Directions]

Helpful Links

Home
Meet The Attorneys
Securities
Testimonials
Recoveries Obtained
Site Search
Contact Us
Video Center
Securities Fraud Blog

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation.
This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

© 2023 All Rights Reserved.

Site Map
Privacy Policy