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

Conflict of Interest

Featured
Year
Clear All

February 10, 2023 Centaurus Financial Penalized $1 Million for Unsuitable Structured Product Sales
November 13, 2022 Pasadena-Based Western International Securities Fined $400k for Deficient REIT Supervision
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
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
December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
April 28, 2021 Sun Hyung Kim Barred for Unauthorized Trading, False & Misleading Statements
January 15, 2021 Transamerica Financial Advisors to Pay $8.8 Million Over Unsuitable Recommendations Charges
September 02, 2020 Raymond James Broker Mark Boucher Accused of $2.2 Million Fraud, Stealing From Dead Client
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
January 25, 2019 Unauthorized Trading, Suitability, and Customer Abuse Complaints Catch Up to Wedbush's William Mark Heiden of Southern California
September 07, 2018 Richard Hughes Suspended for Coaxing Elderly Client to Lie About Excessive Commissions for Unsuitable UIT and Mutual Fund Recommendations
July 02, 2019 Dunkerley Named in $43 Million Dollar Fraud Scheme Tied to LAFC Soccer Team Owner
June 26, 2019 Cetera's George Merhoff Barred on 35th Broker Disclosure After $3.8 Million in Settlements
June 25, 2019 Profits Before People - GPB Capital Paid High Commissions to Sell Troubled Products
June 18, 2019 Patrick Foley Barred After Investigation into Accepting Loans from Elderly Client
June 13, 2019 Nina Jessee Latest Cetera Advisors Broker Barred by FINRA
June 06, 2019 Ron Ray Willoughby Cited for Unsuitable Short-Term UIT Trading
April 24, 2019 Voya Financial Cited for Mutual Fund Sales Charge & Supervisory Failures
April 16, 2019 Frederick Holloway Barred for Improper Variable Annuity Exchange Recommendations & Dishonest Conduct
April 13, 2019 FINRA Identifies 5 High-Price Issues in Unsuitable Variable Annuity Recommendations
April 10, 2019 Glendale Securities (Sherman Oaks) Brokers Sanctioned in Penny Stock Misconduct
April 01, 2019 Ed Matthes Barred After Misappropriation, Forged Account Statement Allegations
March 26, 2019 Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study
March 20, 2019 Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds
March 19, 2019 Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
March 14, 2019 Wedbush Pays $250k to Settle Supervision Failure Charge for SoCal Rep Timary Delorme's Pump-and-Dump Fraud
February 25, 2019 John Spach Barred for Trying to Settle Complaint Away from Firm
February 20, 2019 Disgraced Merrill Lynch Broker Thomas Buck Sentenced to 40 Months in Prison for Securities Fraud
February 13, 2019 Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
January 22, 2019 FINRA's Bar of NMS Capital's Mansourian, Saliba, Tabizon, Younger Becomes Final
January 17, 2019 Donald Logan Fined $25k for Unauthorized Discretionary Trades, Having Customers Sign Blank Documents
January 11, 2019 Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme
January 03, 2019 2019 SEC Exam Priorities Zero In on High Fees, Conflicts of Interest, and Mutual Fund & ETF Risks
December 22, 2018 Cetera Advisor Networks Fined $1.4 Million for Broker Koehler's Unsuitable Churning and Excessive Mutual Fund Trading
December 10, 2018 FINRA Reports Problems with Overconcentration in REITs, Unsuitable Variable Annuity Recommendations
December 07, 2018 Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit
December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
November 29, 2018 Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 27, 2018 Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity
November 23, 2018 San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
November 02, 2018 David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation
October 15, 2018 Charla Kabana Barred During Investigation into Variable Annuity Business at LPL Financial
October 11, 2018 Former Morgan Stanley Broker John-Aaron Lenhert Cited for Borrowing Funds from Customers
October 10, 2018 Daniel Kittner Suspended for 700 Unauthorized Discretionary Trades
October 05, 2018 IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent
September 29, 2018 Robert Torcivia Disciplined Over Beneficiary Designations, Inheriting Money from Clients
September 21, 2018 FINRA Sanctions Ryan Logan for Commission Sharing After Unregistered Assistant Sold Variable Annuities Without a License
September 15, 2018 Stephen T Hurtuk Barred During Unsuitable Recommendations Investigation
September 11, 2018 HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
September 10, 2018 Ladenburg Thalmann Financial Chairman Phillip Frost Charged with Fraud in Pump-and-Dump Penny Stock Scheme
August 22, 2018 Merrill Lynch to Pay $8.9 Million to SEC for Failing to Disclose Conflict of Interest
August 14, 2018 StockCross Financial Services, LA Broker Peter Cunningham Accused of Fraudulent, Unethical UIT Trading Practices
July 26, 2018 National Planning Corp, Investment Centers of America, SII Investments and IFC Holdings Fined $1.7 Million, Ordered to Pay $6 Million in Restitution for Variable Annuity Sales Misconduct
July 24, 2018 FINRA Fines Royal Alliance, FSC, SagePoint Financial, and Woodbury $1 Million for Variable Annuity Supervision Violations
July 09, 2018 IFG's Dennis Contrestano Cited for Unauthorized Transactions at Prior Firm RBC
June 27, 2018 Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
June 26, 2018 Wells Fargo Advisors Pays $5 Million to Settle SEC's MLI Short-Term Trading Charges
June 14, 2018 LPL Financial's Bradley Gardner Barred for Conversion from Elderly Client
January 30, 2023 SoCal Broker Jay Eng Cited for Impersonating Customer in Call with Annuity Company
January 10, 2023 Western International Securities' Efrain Trujillo Suspended by FINRA for Unauthorized Loans
December 13, 2022 LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
November 29, 2022 Morgan Stanley Broker David Lau Sanctioned for Unauthorized Discretionary Trades
November 22, 2022 Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
November 03, 2022 FINRA Slams Anaheim's Centaurus Financial for Supervisory Failure, Allowing Broker Donnie Ingram to Hire His Own Supervisor
October 27, 2022 FINRA's First Regulation Best Interest AWC
September 16, 2022 Advisor Mark Frankel of Partnervest in Southern California Charged with Fraud
September 15, 2022 SagePoint Financial Sanctioned for Supervisory Failures, Excessive Margin for Elderly Client
August 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues
August 19, 2022 Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
August 05, 2022 Philip Smith Suspended by FINRA After Series of Complaints, Unsuitable Variable Annuity Recommendation
August 05, 2022 Camille Cordova Sanctioned for Unsuitable Variable Annuity Recommendations
July 27, 2022 David Hixon Sanctioned Over Improper Money Borrowing, Loans
July 23, 2022 Steven Kiyoto Hirata Barred After Investigation into Private Securities Transactions
July 14, 2022 McDermott Investment Advisors Loses to SEC in Court, Held Liable for Fraud Against UIT Clients
June 15, 2022 Megurditch Patatian Barred for $8 Million of Unsuitable REIT & Variable Annuity Recommendations
June 11, 2022 Brokerage Firm IFP Securities that Sold Doomed GWG Holdings Products Deliberately Sought Risky Products
May 27, 2022 Tarik Nehmatullah Barred After Allegedly Accepting Loan from Customer
May 13, 2022 Ex-Morgan Stanley Broker Nikolay Zotenko Cited for Improperly Marketing Private Placements
May 09, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
May 06, 2022 TCFG Broker Janie Garza-Clark Barred After Fraud Complaint, Investigation
April 27, 2022 Berthel Fisher Fined $100,000 for Options Trading Compliance Failures in Elderly Client's Account
April 15, 2022 Edward Jones Broker John Winslow (Gig Harbor, WA) Barred After Client's $893,000 Theft Accusation
March 25, 2022 FINRA Fines Dempsey Lord Smith & BD4RIA for Private Placement Sales of "Ponzi-like" GPB Capital
March 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
March 18, 2022 Former Wells Fargo & LPL Financial Broker Mario Rivero Arrested for Stealing $680,000 From Clients
February 21, 2022 Purshe Kaplan Sterling Charged Over Unsuitable Leveraged ETF Sales Causing $2.3 Million in Losses
February 10, 2022 Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
January 15, 2022 Triad Advisors Disciplined for Failing to Supervise LJM Mutual Fund Recommendations, Which Lost 80% In Value Before Liquidating
January 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
January 06, 2022 RBC Capital's Unsuitable Concentration in High-Yield Bonds Nets $1 Million Settlement
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
July 31, 2021 SEC Finds Fiduciary Duty and Suitability Failures in Wrap-Fee Program Recommendations
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
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
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 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 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 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 25, 2021 Cetera Firms Fined $1 Million for Supervisory Failures in Third-Party Securities Transactions
January 13, 2021 LPL Financial's Arthur Obermeier Cited for Unauthorized Discretionary Trading
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
December 17, 2020 FINRA Charges Nicholas Baecker with Forging Customer Signatures on Forms
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 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 05, 2020 Kathleen Bott Barred After Investigation Into Theft Charges
September 19, 2020 Voya Broker James Flynn Racks Up Suitability Complaints, Reportedly Flees to Caribbean
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 14, 2020 Merrill Lynch, Charles Kenahan Under NH Investigation for $100+ Million Churning & Unauthorized Trading
June 30, 2020 Barry Hartwyk Disciplined for Unauthorized Use of Discretion
June 02, 2020 Stifel Nicolaus to Pay $3.65 Million for Unsuitable Unit Investment Trust (UIT) Rollovers & Poor Supervision
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 08, 2020 Clare Cail Suspended for Altering Signed Account Documents, Submitting Falsified Form
April 01, 2020 Corona Virus Plagues Risky Structured Products, Reverse Convertibles
March 30, 2020 Corona Virus Claims UBS ETRACS ETN Structured Products as Risky Debt Notes Free-Fall
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 04, 2020 AXA Advisors' Billy Zhang Cited After Settling Misuse-of-Funds Complaint Away From Firm
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
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 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
December 31, 2019 Hicks Latest Broker Accused of Unsuitable High-Risk REIT and BDC Sales to Senior Citizen Investors
December 21, 2019 Francisco Valenzuela Cited for Failing to Disclose Lien
December 18, 2019 CUSO Financial Services' Gerald Coyne Latest Firm Rep Sanctioned After VA Investigation
December 05, 2019 Eugene Gordon Cited for Allowing Wife's Unauthorized Withdrawals From Morgan Stanley Client's Account
December 02, 2019 SEC Bars Securities America Broker Ronald J Roach over $1 Billion DC Solar Fraud and Ponzi Scheme
October 31, 2019 Ami Forte & Charles Lawrence Barred for Churning Dementia-Laden Elderly Client's Account
October 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
October 15, 2019 Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
September 17, 2019 JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
August 26, 2019 Ex-Cetera Broker Merhoff Racking Up Complaints After FINRA Bar
August 10, 2019 Cetera's Mengxuan 'Sharon' Zhang Sanctioned for Falsifying Customer Signature Pages
July 31, 2019 Eric Nichols Suspended for Settling Customer Complaint Away from Morgan Stanley
July 30, 2019 NBC Securities' Brian DiJulio Cited for Unauthorized Short-Term Discretionary Trades
July 24, 2019 Trading in a Dead Client's Account Nets Former Wells Fargo Broker Michael Garris a Fine and Suspension
July 10, 2019 Raymond James Compliance Officer Barred for Falsifying Data
May 08, 2019 Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.
January 24, 2019 LPL Financial Sues Barred Ex-Broker Christopher Lossing over $292,000 Theft it Inadvertently Aided
November 03, 2018 LPL Ex-Broker Sonya Camarco Sentenced to 20 Years for Stealing Client Funds, Fraud
July 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
July 06, 2018 After SEC Fraud Charge, FINRA Bars Robert Tweed for Making False Statements to Obtain $1.6 Million in Athenian Fund LP
July 02, 2018 Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
June 29, 2018 Brian Sung Hyun Sanctioned for Undisclosed Marijuana Consulting Outside Business Activities
June 12, 2018 Complaint Cites Atiq Khan for Failing to Appear in Unauthorized Solicitation, Beneficiary Investigation
June 04, 2018 FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity
May 18, 2018 Banks and Brokers Recommending Risky Reverse Convertibles to Combat Volatility Despite Prior Discipline
May 10, 2018 Revised FINRA Sanction Guidelines Increase Penalties for Brokers with More Complaints
May 09, 2018 Fifth Third Securities to Pay $6 Million for Variable Annuity Suitability and Disclosure Failures
May 08, 2018 Troubled LPL Financial to Pay $26 Million for Selling Unregistered, Non-Exempt Securities
May 02, 2018 James and Lorraine Conaway Sanctioned for Real Estate Outside Business Activity Violations, Disclose Failures
April 27, 2018 Wells Fargo Filing Admits Investigation into 401(k)-to-IRA Rollover Recommendations
April 20, 2018 FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
April 18, 2018 Merrill Lynch Broker Jonathan Belden Fined & Suspended for Unauthorized Use of Discretion, Trading Restricted Security
April 13, 2018 Park Avenue Securities Fined $300,000 in Variable Annuities Supervision Investigation
April 11, 2018 Brent Lott Fined & Suspended for False Documentation Scheme in Connection with Heinz VA Ponzi
April 10, 2018 Wells Fargo Wealth Management Investigated for Unsuitable Investments, Self-Dealing
March 28, 2018 SEC Charges Wedbush Securities with Failing to Supervise Timary Delorme in Penny Stock Market Manipulation Scheme
March 22, 2018 Phillip Tibbetts Fined & Suspended for Accepting Unauthorized Loan from Customer
March 14, 2018 Omer Ozeren Sanctioned for Unauthorized Use of Discretion and Faulty ETF Recommendations
March 06, 2018 DOJ Orders Review of Wells Fargo Advisors' Sales Practices and Recommendations
February 16, 2018 Regulator Charges Scottrade with Fiduciary Duty Rule Violation in Retirement Sales Contest Controversy
February 06, 2018 Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds
January 19, 2018 Richard Foster Sanctioned for Unsuitable IRA Liquidation Recommendation, Risky ETF Trading Strategy
January 10, 2018 Ameriprise's Larry Boggs Barred for Churning Elderly Client Accounts, Improperly Changing Customer Objectives
January 04, 2018 Goldman Sachs Structured Products, Reverse Convertibles, Suitability, and the Fiduciary Rule
December 11, 2017 NEXT Financial to Pay $750,000 in Latest Disciplinary Action Concerning Habitual Deficiencies and Systematic VA Failures
December 08, 2017 Spencer Edwards' Steven Quoy Suspended for Issuing Misleading Sales Materials for Advertising Sign Investments
December 04, 2017 Anthony Sica Sanctioned for Recommending Unsuitable High-Risk Securities to Elderly Customer and Unauthorized Trading in Dead Client's IRA Account
November 18, 2017 Jerry Guttman Barred for 10 Years of Unauthorized Private Securities Transactions
November 16, 2017 Stockbroker and Blue Line Brewery Owner Mark Gillis Pleads Guilty to Securities Fraud
November 14, 2017 Patricia Peterson Sanctioned for Unauthorized Discretionary Trades in WFG Accounts
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
November 09, 2017 FINRA Bars Victor Michel for Failing to Cooperate with Investigation
November 07, 2017 Questar to Pay $800,000 for Overcharging Retirement Plan & Charitable Organization Customers
November 05, 2017 First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
October 19, 2017 Beware Buffer Annuities - Misrepresentations and Omissions Highlight Complaints of New Risky Product
October 13, 2017 Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions
October 11, 2017 Ex-Ameriprise Brokers Jack McBride and Stuart Pearl Cited by FINRA for Improper Margin Trades
October 06, 2017 SEC Charges Tweed Investment Services and Owner Robert Tweed with Fraud in Athenian Fund Scheme
October 04, 2017 Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns
October 03, 2017 Sandlapper Securities Accused of Charging $8 Million in Fraudulent Markups for Saltwater Disposal Well Private Placements
September 28, 2017 Ex-LPL Rep Sonya D Camarco Charged with Securities Fraud and Theft in Colorado
September 27, 2017 Ex-Royal Alliance, Next Financial, and Dominion Investment Rep Roger Hudspeth Pleads Guilty to $6 Million Fraud
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 08, 2017 William Glaser Barred, Under Federal Investigation Related to Fraud Indictment, After 76-Year-Old Navy Vet Suffers $400,000 Private Placement Loss
September 05, 2017 Jeffrey Alan Smith is the Latest Ex-Accelerated Capital Group Broker Cited for Pre-Signed, Altered Forms
September 01, 2017 FINRA Sanctions Elaine LaCerte for Unsuitable UIT Sales, Causing Unnecessary Sales Charges
August 15, 2017 FSC Securities Corporation Fined for Non-Traditional ETF Failures, Unsuitable Recommendations
July 31, 2017 Fictitious Letters to Elderly VA Customer Earns Jason Belajack a Permanent Bar in Latest Discipline of Ex-ACG Broker
July 27, 2017 PA Fines Austin Dutton $200,000 & Newbridge $499,000 for Dishonest, Unethical Practices in Unsuitable REIT Sale
July 21, 2017 AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client
July 07, 2017 Jaime Aguilar Suspended for Unauthorized Loans from Customers
July 06, 2017 Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate
July 03, 2017 Richard Botkin Fined & Suspended for $245k of Unauthorized Movie-Related Investments
June 09, 2017 FINRA Sanctions James Cox for Unsuitable VA Recommendations, Outside Business Activity, Misrepresentation, Mutual Funds
June 03, 2017 Ex-Red Ridge Securities CEO Brent Hurt Sanctioned for Failing to Supervise Broker in $1 Million Misappropriation Scheme
June 01, 2017 Ex-Morgan Stanley Rep John Bocchino Barred for Concealing $190 Million in Venezuelan Bond Trades
May 31, 2017 FINRA Investigating Joseph Farah for Churning, Suitability, Undisclosed Outside Business Activities, Misrepresentations
May 30, 2017 Michael Mahabir Barred After Conversion Investigation
May 25, 2017 Wells Fargo to Restrict Structured Products, Municipal Bonds in IRA Accounts
May 08, 2017 Walter Marino Charged with Collecting $60k Commissions as Clients Lost Money Over Unsuitable Variable Annuity Replacements
May 02, 2017 Ex-LPL Rep Thomas Andrews Charged with Defrauding 23 Investors in Liquidation Scheme
May 01, 2017 Ex-Raymond James Broker Scott Sibley Barred for 900 Unauthorized Transactions, Unsuitable Recommendations to 10+ Seniors
March 02, 2017 Craig Dima Barred for $15 Million of Unauthorized & Unsuitable Trades in Elderly Client's Retirement Account
February 24, 2017 Excessive REIT, BDC Sales Charges Caused by Conflict-of-Interest Fraud Nets Purshe Kaplan Sterling Investments $3.4 Million Restitution Order, $750,000 Fine
February 21, 2017 Red River Securities Expelled, CEO Brian Hardwick Barred, Ordered to Pay $24.6 Million in Restitution for Fraud
February 09, 2017 Dion Padilla Sanctioned for Unauthorized, Misrepresented, and Concealed Variable Annuity Purchase
February 06, 2017 After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice
February 03, 2017 Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud
January 24, 2017 Citizens Securities Fined $300,000 for Failing to Disclose Customer Complaints
December 05, 2016 FINRA's Recent Sanctions Underscore Compensation and Conflict of Interest Priorities
December 02, 2016 MA Charges LPL Financial for Adviser Roger Zullo's Alleged Variable Annuity Fraud, Elder Abuse
November 02, 2016 Eight Firms Fined $6.2 Million for Variable Annuity L-Share Supervisory Failures
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
October 06, 2016 Cetera Financial Group's Investors Capital Corp to Pay $1.1 Million Over Unit Investment Trust, Steepener Note Sales
September 29, 2016 UBS to Pay $15 Million over Unsuitable Reverse Convertible Note Sales to Conservative and Retired Investors
September 06, 2016 Ameriprise Financial Failed to Supervise Michael Halla's Unsuitable Closed End Fund Short-Term Trading, Fined $100,000
August 11, 2016 Non-Traded REITs Failing in Face of Industry, Regulatory Challenges, High Commissions
May 04, 2016 David Miller Barred, Ordered to Pay $800k in Restitution for Unsuitable UIT Recommendations
December 19, 2015 J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures
June 24, 2015 SEC to Fight Financial Elder Abuse and Fraud by Upping Broker and Advisor Oversight in Retirement Accounts
March 05, 2015 Dalas Lee Gundersen Fined, Suspended & Ordered to Disgorge Excess Commissions Earned Through Unsuitable Sales, and Over-Concentration of Mutual Funds
November 16, 2014 NASAA Names Top 9 Investor Threats for 2015
January 30, 2014 SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 26, 2014 SEC National Exam Program's Investment Adviser & Company Priorities for 2014
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 07, 2014 FINRA Tells Firms to Put Clients First with Conflicts of Interest Report

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