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May 27, 2021
Calton & Associates Sanctioned Over Volatile Exchange-Traded Product (ETP) Supervision Failures
April 28, 2021
Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
January 25, 2019
Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
June 26, 2019
Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
April 01, 2019
Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
November 23, 2018
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
November 14, 2018
Michael Scott Livermore Sanctioned for Failing to Report Felonies
October 15, 2018
Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial
September 21, 2018
FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License
September 17, 2018
Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred
June 27, 2018
Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
January 14, 2022
Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
October 19, 2021
Morgan Stanley's Barry Garapedian Accused of Unsuitable Recommendations Causing Millions in Damages
February 11, 2021
FINRA Fines Triad Advisors $150,000 Over Poor Mutual Fund & Variable Annuity Switches That Resulted in Customer Losses
January 27, 2021
George Magladry Suspended for Failing to Disclose Felony Charges
December 11, 2020
California's Infinity Financial Services Fined $35k Over Inadequate Background Checks of Brokers, Failing to Obtain Industry Approvals
October 05, 2020
Kathleen Bott Barred After Investigation Into Theft Charges
May 07, 2020
Western International Securities Failed to Disclose Brokers' Financial Events Totaling $5.6 Million, Says FINRA
October 24, 2019
JP Morgan Fined $1.1 Million for Failing to Tell FINRA About 89 Broker Misconduct Allegations
October 04, 2019
James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
September 23, 2019
Clay G Erickson Sanctioned in $5 Million-Worth of Unauthorized VA Transactions
September 17, 2019
JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
September 11, 2019
FINRA Cites First Financial Equity's Compliance Officer, Melissa Strouse, for Failing to Disclose 67 Broker Liens, Judgments & Financial Events
August 26, 2019
Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
July 30, 2019
NBC Securities' Brian DiJulio Cited for Unauthorized Short-Term Discretionary Trades
July 02, 2018
Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
April 03, 2018
In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation
March 28, 2018
SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
February 13, 2018
Guilty of Fraudulent Scheming to Overcharge Clients, SEC Bars Ex-Merrill Lynch Rep Thomas J. Buck
January 31, 2018
FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
January 25, 2018
Ameriprise's Lorene Fairbanks Sanctioned for Unauthorized Loan from Customer, Violative Text Messages
January 16, 2018
FINRA's 2018 Priorities Include Suitability, Cryptocurrency, High-Risk Brokers & Firms, Microcap/Penny Stocks, and Margin
November 13, 2017
Accused of Elder Fraud in Trying to Generate Commissions, FINRA Bars Hank Werner for Churning and Excessive Trading
November 10, 2017
Lisa J. Lowi Barred During Investigation into Unsuitable Trading, Unauthorized Transactions Complaints
October 25, 2017
SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
October 23, 2017
Bae Keun Yu Suspended for Undisclosed Outside Securities Business
October 20, 2017
Ex-Newport Coast Securities Broker George Dahl Barred in 15th Disclosure
September 19, 2017
With 33rd Disclosure Since 2002, Broker Tiffany Ann De Ruosi (Rigali), Criminal Record in Hand, is Suspended
September 18, 2017
"Massive Energy" Broker John Kai Barred After Undisclosed Private Securities Transactions, Outside Business & Discretion Investigation
September 15, 2017
Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN
July 18, 2017
David Gott Sanctioned by FINRA for Selling Interests in "Gott Ice Cream, LLC"
July 14, 2017
Robert Tweed Named in False & Misleading Private Placement Memorandum Complaint, Fraud Investigation
June 09, 2017
FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
April 24, 2017
John Olinghouse Sanctioned for Falsifying Documents, Settling Elder Diminished Capacity Customer's Complaint Away from Firm
January 24, 2017
Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
December 02, 2016
MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 07, 2016
Tracy Turner's 35th Disclosure is Complaint Alleging $4.1 Million Private Securities Misconduct
July 29, 2016
Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
July 11, 2016
Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception
June 29, 2016
Anthony Diaz, a Repeat Offending Rogue Broker Under Federal Indictment for REIT Fraud, is Poster Child for Worrying Trend
June 15, 2016
Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA
June 09, 2016
Shannon Rowland Barred for Converting Funds for Personal Use
March 07, 2016
FINRA Fines RBC Capital $300k for Failing to Disclose Reps' Unsatisfied Liens and Judgments
March 06, 2016
Bahram Mirhashemi Barred for Churning, Excessive Trading & Unsuitable Sales to Elderly Clients Resulting in Losses
March 02, 2016
7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
October 01, 2015
FINRA Fines, Suspends Todd Shanholtzer for Mishandling, Misusing $58k of Customer Funds in Variable Annuity Product
September 24, 2015
FINRA Bars Willard Lee Golightly for Supervisory Failures over Excess Concentration in Illiquid Securities, REITs
September 22, 2015
FINRA Bars or Suspends 10 Cockroach Brokers at Global Arena Capital Corp. for Misleading Pitches, Churning, and Other Misconduct
August 11, 2015
Gehrin Michael Ortiz Barred After Investigation into Material Disclosure Violations and Omissions
July 07, 2015
FINRA Board Candidate Brian Kovack Says He'll Represent Firms, Not Investors
July 01, 2015
Misappropriation Nets Broker Roderick Yzaguirre 10 Disclosures in 2 Months, Over $3.3 Million in Damages
June 11, 2015
Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
March 27, 2015
Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton
March 13, 2015
With 14 Pending Customer Disputes Alleging Misrepresentation and False Statements in Variable Annuity Transactions, FINRA Files Complaint Against Anthony Diaz
March 11, 2015
FINRA Censures and Fines UBS $500,000 for Failing to Disclose Broker Issues to Regulators
January 16, 2015
Merrill Lynch Fined $175k for Failing to Timely Report Complaints of Defrauding Adviser Who Escaped to LPL
December 29, 2014
To Patch Loophole, FINRA to Provide Insurance Regulators with Monthly Disciplinary Reports
September 26, 2014
2014's 12 Worst Financial Advisors List Features Ponzi Schemes, Scams and Frauds
August 14, 2014
Ex-Wells Fargo Broker, Michael James Frew, Barred for Failure to Cooperate with Investigation into Alleged Conversion of Funds and Ponzi Scheme
June 12, 2014
At IAA Financial, 84% of Brokers Came from Expelled Firms, 54% with Previous Disclosure Records
April 25, 2014
Background Checks for Brokers Newest Requirement for FINRA-Member Firms
April 17, 2014
Study: Brokers Who Fail Basic Securities Exams Have More BrokerCheck Black Marks, Disclosures
April 01, 2014
NY Firm Meyers Associates: A Standout Broker-Dealer Full of Black-Mark Reps with Disclosures
January 03, 2014
FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
November 13, 2013
FINRA Enhances BrokerCheck System, Makes Advisers' IAPD Reports Available
October 23, 2013
Study: FINRA Grants Expungement to Most Brokers in Arbitration; FINRA Responds
October 05, 2013
Over 5,000 Brokers from Barred Firms, Many Accused of Fraud, Still Selling Securities
September 18, 2013
Private Placement Offerings Require Research and Contemplation of Risk
June 27, 2013
SEC Approves FINRA Request to Publish Detailed Disciplinary Complaints and Decisions
September 24, 2012
Merrill Lynch Fined $500,000 for Failure to File Required Reports with FINRA
September 20, 2012
SEC Charges Broker with Stealing to Pay Personal Expenses, Investors, Many from Santa Monica, Lose $600,000 in Ponzi Scheme
September 13, 2012
Terminated Morgan Stanley Risk Officer Claims Retaliatiory Firing for Whistleblowing