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

2021

Featured
Category
Month
Clear All

December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
November 03, 2021 Investors Who Lost Money in Northstar Financial Services (Bermuda) & Beechwood Bermuda May Be Entitled to Damages From Firms That Sold Notes & Annuities
October 20, 2021 Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
September 06, 2021 SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees
August 10, 2021 Raymond James May Have Sold Unsuitable Northstar Financial Services (Bermuda) Products, Resulting in Losses Due to Northstar's Downfall
August 06, 2021 Suntrust Investment Services Rep Stephen Berrocal Accused of Unsuitable Recommendations as Northstar Financial Services (Bermuda) Saga Rolls On
May 27, 2021 Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
May 06, 2021 A Truly International Operation: Northstar Financial Services (Bermuda)'s Liquidation Will Result in Significant Losses
April 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
March 11, 2021 Unsuitably Risky SPACs, "A License to Rip Investors Off," Rile SEC and FINRA Regulators
February 08, 2021 SEC Charges GPB Capital Holdings, Ascendant Capital, with $1.7 Billion Ponzi Scheme Defrauding 17,000 Retail Investors
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
December 30, 2021 Wedbush Securities to Pay $1.2 Million Over Unregistered Microcap Sales
December 22, 2021 American Portfolios Financial Services Cited After Assistant Kimberly Sredich's Theft from Clients & Rep Mark Hopkins' Misappropriation, $1 Million SEC Case
November 29, 2021 WestPark Capital Sanctioned for Misrepresentations in $3.9 Million Promissory Note Sales
November 23, 2021 JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
November 22, 2021 Non-Traded Real Estate Investment Trusts: Recovering Damages when a Broker Unsuitably Recommends a REIT
October 19, 2021 Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
October 18, 2021 Raymond James' Mark Boucher Criminally Charged in $2 Million Fraud
October 05, 2021 Ex-Vorpahl Wing & LPL Financial Broker Lee Victor Nordstrom Barred After Allegedly Placing IRA Trades 4 Days After Client's Death
September 20, 2021 Ex-LPL Financial, APW Capital's Paul Furusho Barred After Loan Investigation
September 14, 2021 SEC Cites 9 Brokerage Firms Over 12b-1 Fee Violations That Harmed Customers
August 26, 2021 Pruco Securities' Alon Zak Accused of Creating Fake Life Insurance Policy Applications by Forging Signatures
August 26, 2021 Jason Seale Cited for Discretionary Trading Without Permission
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
July 28, 2021 Regulators Crack Down on Record Keeping and Broker Communications via E-mail, Text Message, WhatsApp, and Social Media
July 21, 2021 UBS Ordered to Pay $8 Million for Unsuitable Complex ETP Sales of VXX
July 16, 2021 Merrill Lynch to Pay $11.7 Million Over Unit Investment Trust (UIT) Supervisory Failures
June 29, 2021 SEC Orders Crown Capital Securities to Pay $1.6 Million Over Mutual Fund Share Class Violations
June 24, 2021 Farmers Financial Solutions Fined for Failing to Supervise Variable Universal Life, Mutual Funds Business
June 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"
May 19, 2021 Hung Sam Cited for Borrowing From Wells Fargo Customer Without Authorization
May 17, 2021 Wells Fargo's Gary Wells Sanctioned for Accepting Prohibited Bequests from Elderly Customer's Estate
May 13, 2021 IRS Warns of Conservation Easement Tax Scams as Brokers Raise Billions
May 11, 2021 UnionBanc Investment Services Fined $100k for Variable Annuity Supervision Woes
April 30, 2021 Antoine Nabih Souma Under Investigation After JP Morgan Pays $14 Million to Settle Dispute
April 26, 2021 FINRA Bars John Lee Scott of LPL Financial (Phoenix) During Outside Business Activity nad Private Securities Transaction Investigation
April 21, 2021 SPAC Buying Slows as Regulators Propose Rule Change, Reviews of Prior SPACs
April 13, 2021 Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors
April 12, 2021 Independent Financial Group Disciplined Over Concentrated Illiquid REIT Sales, Supervisory Failures
April 05, 2021 James Hedges Cited for Misrepresenting, Failing to Disclose $6 Million of Financial Events on Questionnaire
April 01, 2021 Adviser Who Instructed Elderly Customers to Sign Blank Documents and Lied on Forms to Effect Investments in High-Risk, High-Fee Products Sentenced to 17 Years in Prison
March 31, 2021 Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision
March 26, 2021 While Stating "We Routinely Have Legal Issues," Calton & Associates Adds $500,000 to ETF Legal Budget, Seeking to Pay Customers Restitution for Complex ETF Sales
March 25, 2021 The Logan Group Securities Cited for Multi-Share Class Variable Annuity Violations
March 23, 2021 JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders
March 22, 2021 Growth Capital Services Fined $35,000 for Distributing Misleading Description of Risky Private Placements and Disclosure Failures
March 18, 2021 Whitehall-Parker Securities, Robert James Yuloo Cited for Failing to Supervise Broker Who Sold Fraudulent Woodbridge Ponzi Scheme Products
March 12, 2021 Advisor Group Firms, including Royal Alliance Increase Budgets for Legal and Regulatory Issues
March 12, 2021 FINRA Cites Jeffrey Stanga for Failing to Fully Disclose Outside Business Activity, and Engaging Private Securities Transactions
March 09, 2021 Cetera Financial Group & Cetera Advisors Paid $4.2 Million Over Mutual Fund Misconduct
March 04, 2021 LPL Broker Rhett Douglas Bedwell Barred During Investigation of Ponzi Scheme
March 02, 2021 Megurditch Patatian Accused of Unsuitable REIT Recommendations Funded Through VA Surrenders
February 27, 2021 Scott Hansen Sanctioned for Unapproved Will and Trust for Elderly Customer, Threatening Family After Client's Death
February 25, 2021 VALIC Financial Advisors Fined $350,000 for Variable Annuities Failures After Prior $1.75 Million Fine
February 22, 2021 Wells Fargo's Scott Reed Barred After Selling $3.5 Million of Web/Software Investments Away from Firm
February 18, 2021 Andrew Perona Sanctioned for Taking Clients' Personal Information to New Firm Without Consent
February 11, 2021 FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses
February 10, 2021 My Financial Girlfriend CEO Lisa Brumm Sanctioned for Unsuitable Variable Annuity Recommendations
January 31, 2021 Broker San Nicolas Barred Over Recommendation to Purchase Las Vegas Raiders Seats
January 27, 2021 George Magladry Suspended for Failing to Disclose Felony Charges
January 25, 2021 Cetera Firms Fined $1 Million for Supervisory Failures in Third-Party Securities Transactions
January 20, 2021 Merrill Lynch Broker Ryan Raskin Barred After Inappropriate Investment Recommendations, Firing
January 13, 2021 LPL Financial's Arthur Obermeier Cited for Unauthorized Discretionary Trading
January 07, 2021 LPL Financial Fined $6.5 Million for Supervisory Deficiencies in Wake of $1+ Million Ponzi Scheme
January 01, 2021 Worden Capital Management Ordered to Pay $1.5 Million Over Systemic Excessive Trading and Unsuitable Recommendations That Caused Losses of Millions of Dollars, Interfering with Customers' Requests to Transfer Accounts to Another Broker-Dealer

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