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Jonathan W. Evans
Michael S. Edmiston
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August 28, 2022
GWG Holdings Financing Package Approved, Further Highlighting Importance of Pursuing Arbitration with Firms That Sold L Bonds
June 21, 2022
Emerson Equity Predicts Further Adversity as Wholesalers Leave and GWG Holdings L Bond Losses Grow
June 16, 2022
Western International Securities Charged with Violating Regulation Best Interest by Recommending and Selling Unsuitable and Risky GWG L Bonds
April 22, 2022
After Causing Investor Losses, Bankrupt GWG Holdings Blames SEC Investigation For GWGH Failures
April 21, 2022
Troubled GWG Holdings Finally Files for Bankruptcy, Sealing Many Investors' Losing Fates
April 13, 2022
GWG Holdings Unit Seeks Waiver of Default
April 12, 2022
GWG Sanctioned by NASDAQ As More Brokerage Sellers Appear
April 08, 2022
GWG Holdings Losses Grow in California with Centaurus, Kingswood's Mark John Williams
April 04, 2022
GWG to File for Chapter 11 Bankruptcy - GWG L Bond Investors May Be Entitled To Damages
March 09, 2022
Investors Advised to "Avoid GWGH" as GWG Holdings Deemed Problematic in 2015
March 04, 2022
KIRN Radio Personality Tony Barouti (Barouti Financial) Under Investigation Over Possible GWG Holdings L Bond Sales
February 26, 2022
L Bond Losses: Defining GWG Holdings' Unsuitably Risky Product
February 24, 2022
Backed into a Collapsing Corner, GWG Holdings Goes Silent, Leaving Investors On the Hook
February 23, 2022
Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
February 02, 2022
GWG Holdings Pauses L Bond Sales As Large Losses Loom
January 31, 2022
GWG Holdings Fails to Make $13.6 Million in Payments to Investors as Investigations Ramp Up
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
July 02, 2019
Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
March 20, 2019
Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds
March 21, 2023
As Credit Suisse Shareholders Suffer Losses, AT1 Bond Holders Lose Everything
October 06, 2022
As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products
September 27, 2022
ProMedica Health System Downgraded, $2+ Billion Debt Spurring Review for Junk Status and Possible Default
June 11, 2022
Brokerage Firm IFP Securities that Sold Doomed GWG Holdings Products Deliberately Sought Risky Products
February 16, 2022
Emerson Equity-Pushed GWG L Bonds Face Imminent Default After Failing to Pay Investors
January 06, 2022
RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement
November 23, 2021
JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
July 29, 2020
Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
March 24, 2020
Coronavirus Losses, Stock Market Decline Expose Fraudulent Schemes
October 31, 2019
Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
May 08, 2019
Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.
November 10, 2017
Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints
September 20, 2017
Mehran 'Ron' Tazhibi Sanctioned for Unsuitable Speculative Bond Recommendation to Retired Clients
July 28, 2017
FINRA Bars Kim Dee Isaacson for Defrauding Elderly Customer
June 01, 2017
Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades
September 12, 2016
Jonathan W. Evans & Associates is Investigating Claims Against William Mark Heiden & Wedbush Securities over Energy Stock Overconcentration
January 13, 2016
FINRA Senior Hotline Warns: Fraud is Alive and Well and Takes Many Forms
January 06, 2016
2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
September 22, 2015
FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
July 13, 2015
Transacting Bonds: Liquidity, Risk of Loss Target of New FINRA Investor Alert
March 05, 2015
Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
January 05, 2015
High Yield Bonds, Stocks, and ETFs in Grave Jeopardy as Oil Bubble Poised to Burst
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
January 03, 2014
FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
November 25, 2013
Gary C. Snisky Charged in $3.8-Million Fraud Scheme Targeting Elderly Investors
November 17, 2013
Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
November 14, 2013
FINRA: Volatile Interest Rates Are Next Major Threat to Investment Portfolios
October 24, 2013
Warning about Wirehouses: Excess Fees, Depressed Profits Harmful to Clients
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
August 23, 2013
Morgan Stanley Fined $1 Million, Ordered to Pay $188,000 in Restitution for Bond Pricing Failure
July 25, 2013
FINRA's TRACE Program to Increase Transparency of Mortgage-Backed Securities Market
July 18, 2013
StateTrust Investments, Joseph Turnes Fined $1 Million, Ordered to Pay $353,000 in Restitution for Unfair Bond Prices
May 22, 2013
FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors
March 20, 2013
Richard Grant Cody Fined & Suspended For Unsuitable and Excess Trading
February 01, 2013
UBS to Change Customers' Objectives, Reclassify Clients as "Aggressive" Investors
