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Jonathan W. Evans
Michael S. Edmiston
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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
July 16, 2019
Convicted Fraudster Daniel Vazquez Gets Prison for Swindling Seniors Out of $2.6 Million
July 05, 2019
SEC Complaint Names LPL Financial Ex-Broker Kerry Lee Hoffman Alongside Fraudster Thomas Conwell
April 18, 2019
John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales
March 19, 2019
Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
March 15, 2019
NAC Affirms Amerprise Broker Jim Jinkook Seol's EB-5 Private Securities Transactions and Outside Business Activities Bar
February 25, 2019
John Spach Barred for Trying to Settle Complaint Away from Firm
February 13, 2019
Thomas E Burns Sanctioned for Alt Investment Mistakes at Crown Capital
February 05, 2019
Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study
January 11, 2019
Gary Pevey Barred Over Unauthorized Note Sales in Woodbridge Ponzi Scheme
December 07, 2018
Nicholas Radke Barred During Investigation into Unapproved Private Securities Transaction, Elder Abuse Fraud Lawsuit
November 29, 2018
Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 02, 2018
David Ferwerda Barred in Woodbridge Ponzi Scheme, 1 Global Capital Fraud Investigation
September 11, 2018
HD Vest Investment's Jerry Raines & Donna Barnard Barred in Ongoing Woodbridge Ponzi Scheme Investigation
June 27, 2018
Kyusun Kim Barred for Unsuitable Recommendations of REITs and Alt Investments in Elderly Investors' Retirement Accounts
January 10, 2023
Western International Securities' Efrain Trujillo Suspended by FINRA for Unauthorized Loans
December 15, 2022
Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
October 21, 2022
Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
October 06, 2022
As Credit Suisse Nears Financial Jeopardy, Potential Customer Losses Loom for its Structured Products
April 01, 2022
TCFG Wealth Broker David McDonnell Barred in Outside Business Activity Investigation
March 23, 2022
Michael Knittel Suspended for Undisclosed Private Securities Transaction
November 29, 2021
WestPark Capital Sanctioned for Misrepresentations in $3.9 Million Promissory Note Sales
April 13, 2021
Steven Schisler Accused of Recommending Elderly Clients Invest in Promissory Note Issued by Partner Previously Barred for Defrauding Investors
March 31, 2021
Broker-Dealer's Due Diligence Duties for Private Placements Require Research and Supervision
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
FINRA Cites Jeffrey Stanga for Failing to Fully Disclose Outside Business Activity, and Engaging Private Securities Transactions
November 03, 2020
LPL Financial's Timothy Engelmann Sanctioned for Unauthorized Loan Through LLC
June 20, 2020
E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
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
May 01, 2020
Wells Fargo's Bryan Benson Barred After Investigation Into DPP Customer Complaint
April 06, 2020
Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
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
October 15, 2019
Newbridge Fined $225,000 for Complex Securities, ETF Supervision Failures
October 04, 2019
James Lamont Sanctioned for Selling $1.5 Million of Notes in Fraudulent Woodbridge Ponzi Scheme
July 02, 2018
Massachusetts to Investigate Private Placement Sales & Related Practices at 10 Firms
June 08, 2018
$1.2 Billion Ponzi at Woodbridge Group of Companies More Widespread Than Thought
June 03, 2018
Arizona Indicts Howard Price, III for Stealing $475,000 from IRA Accounts
February 06, 2018
Car Dealership Alt Investments in Turmoil as GPB Capital Holdings Alleges Business Partner Fraudulently Converted Funds
February 05, 2018
SEC Adds Misappropriation to Sports Advisor Ash Narayan's Fraud Charge in Amended Complaint
January 27, 2018
SEC Charges Woodbridge Group of Companies in 'Massive' $1.2 Billion Ponzi Scheme Targeting 8,400 Investors
January 17, 2018
Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate
December 27, 2017
NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
December 18, 2017
Ex-LPL Broker Leslie Koonce Barred After Falsely Denying Participation in Unauthorized Private Securities Transactions
December 12, 2017
Woodbridge Group of Companies, LLC, Under SEC Investigation for $1 Billion Fraud as Fund Misses Notes Payment
March 07, 2017
Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away
November 01, 2016
Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
April 26, 2016
Securities America Fined $250k, Broker Stuart Horowitz $100k, for Inadequate Due Diligence, Unsuitable Trading of Preferred Notes
March 19, 2016
Risky, Unsuitable Investments in Poorly Performing Energy, Oil and Gas Ventures May Lead to FINRA Claims
February 24, 2016
Aequitas Capital Note Disaster Serves as Reminder of Importance of Advisors Performing Due Diligence
January 06, 2016
2016 FINRA Priorities Letter Includes Brokerage Firm Culture and Ethics, Suitability, Seniors, Complex Products
April 29, 2015
FINRA Orders Avenir Financial Group to Stop Selling to Elderly Customers, Bars Cesar Rodriguez for Fraud
November 16, 2014
NASAA Names Top 9 Investor Threats for 2015
July 25, 2014
David Paul Diehl Suspended, Fined for Failure to Pay Promissory Note Interest, No Notification to Firm
June 06, 2014
Concentration Risk: The Implications of Putting All Your Eggs in One Basket
May 14, 2014
Broker Matthew Trulli Suspended for Illicit Borrowing of Nearly $200k in Customer Funds
May 05, 2014
Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
January 30, 2014
SEC Issues Risk Alert Criticizing Advisors' Handling of Alternative Investments
January 23, 2014
SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
December 30, 2013
Bambi Holzer Barred for Unsuitable Provident Royalties Sales, Failure to Disclose and Submission of False Information
November 20, 2013
Brian Matt Borakowski, George Alexander Kardaras Barred for Promissory Notes Ponzi Scheme Fraud
November 17, 2013
Dangerous Words: SEC Cautions Firms to Stop Using "Protected," "Guaranteed" in Fund Names
October 17, 2013
NASAA Calls Out New Scams, Rotates Five of Top 10 Investor Threats
October 15, 2013
SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
September 18, 2013
Private Placement Offerings Require Research and Contemplation of Risk
August 15, 2013
Former Broker John Brady Guyette Convicted on 15 Securities Fraud Felony Counts
August 12, 2013
A Survey of Reverse Convertible Risks as Bank of America Takes Structured Note Sales Title
August 10, 2013
FINRA Accuses TNP's Tony Thompson of Defrauding Investors, Failing to Pay Out Promissory Notes
July 01, 2013
Forrest Nolan Jackson Barred for Selling Away of Notes Related to SEC Lawsuit Defendant
May 22, 2013
FINRA: Firms Must Adhere to Industry Rules and Be Honest with Investors
April 28, 2013
aryl Marc Holzberg Suspended for Failure to Adequately Supervise, Respond to Red Flags
April 23, 2013
Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery
April 12, 2013
FINRA Files Order to Shut Down Success Trade Securities, Claiming Firm Scammed Investors
March 24, 2013
Michael Mendenhall Barred for Borrowing from Elderly Customers, Untruthful Reply to FINRA Inquiry
March 24, 2013
LPL Financial Firm Under Fire and On Radar with Several Securities Regulators
March 20, 2013
Jane Elizabeth O'Brien Barred for Unauthorized $3 Million Loans, Failure to Repay Clients, Alleged Securities Fraud
January 16, 2013
Doran Lynn Follis Suspended for Inadequate Due Diligence, Improper Recommendations
October 12, 2012
Ralph Thomas Gannett Suspended for Inadequate Due Diligence Related to Private Placement Sale
August 13, 2012
Douglas Brent Cartwright Fined & Suspended for Soliciting Investments Outside the Scope of His Employing Firm
July 10, 2012
Real Estate Broker Tony Thompson Suspends Interest Payments to Investors
