Close
Skip to Content
High Contrast
Increase Text Size
Clear All
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
Northstar Financial (Bermuda)
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
NOP Myth
P&L
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Affinity Fraud
Breach of Contract
Fraud
Failure to Conduct Due Diligence
Failure to Disclose Facts and Risks
Failure to Execute Trades
Misrepresentation/Omission
Overconcentration
Selling Away
Account Churning
Ponzi Schemes
Scams Involving High Yield CDs
Stockbroker Fraud
Transferring Your Investment Account
Theft/Conversion
Unauthorized Trading
Unsuitable Securities
Securities Fraud
Signs of Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Breach of Fi-Du
Negligence
State Securities Laws
Suitability
Products
Annuities
Bonds
Limited Partnerships
Mutual Funds
Options
Principal Protected Notes
Private Placements
Promissory Notes
REITs
Reverse Convertibles
Stocks
Structured Products
TICs
UITs
Frequently Asked Questions
Attorney Referrals
Video Center
Testimonials
Recoveries Obtained
Site Search
Contact Us
Local Office
818-760-9880
Top
Selling Away
Featured
Year
Select a Date
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Clear All
February 23, 2022
Unsuitably Recommended and Sold to Investors, GWG Holdings L Bonds Lose Value, Paving Way for Arbitration
October 20, 2021
Morgan Stanley of Pasadena's Henry Chang Accused of Soliciting Outside Investments
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
June 17, 2019
Barred San Diego Broker Harry Couglar Suspended by CFP Board
April 18, 2019
John Ernst Sanctioned for Ponzi-Laden Woodbridge Note Sales
March 29, 2019
JWE Investigating Brokers Who Sold Future Income Payments (FIP) in $300 Million Ponzi Scheme
March 19, 2019
Laguna Niguel's Craig Arsenault Barred for $5.7 Million Fraud of Atlas Capital Clients
February 25, 2019
John Spach Barred for Trying to Settle Complaint Away from Firm
February 05, 2019
Broker-Dealers Still May Be Held Liable for Selling Away Losses: A Woodbridge Case Study
January 23, 2019
FINRA's 2019 Exam Priorities Feature Senior Protections, Suitability, Outside Business Activities
November 29, 2018
Frank Dietrich Cited for Selling $10.8 Million in Investments in Woodbridge Group of Companies Ponzi Scheme
November 23, 2018
San Diego "Financial Whiz of Local Airwaves" Kyle Harrington Barred After Conversion, Undisclosed Private Securities Transaction Investigations
August 08, 2018
Former Transamerica Broker Roy Gaytan Sanctioned for Discretionary Trading Violations
August 01, 2018
Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
July 05, 2018
Bradley Tennison Barred After Recommending $300k Wire Investment Away from Firm
December 22, 2022
FINRA Bars PFS Vice President Desiderio Torrez After Customer Complaint
December 15, 2022
Transamerica Broker Guatam Arora Arrested in Southern California on Fraud Charges
December 13, 2022
LPL Financial Fined $150k, Admonished for Failing to Supervise Broker Involved in Ponzi Scheme
August 19, 2022
Broker Zachary Hansen Suspended After Selling Away From UBS Financial Services
February 10, 2022
Morgan Stanley Broker Darryl Cohen, Broker to Pro Athletes, Barred After Millions in Claims
December 22, 2021
American Portfolios Financial Services Cited After Assistant Kimberly Sredich's Theft from Clients & Rep Mark Hopkins' Misappropriation, $1 Million SEC Case
June 20, 2020
E-mail Communication Failures - What a Terminated CEO, WhatsApp Broker, Woodbridge & FIP Have in Common
April 06, 2020
Accurate Record Keeping & Supervision Vital as FINRA Temporarily Lifts Rules, SEC Suspends In-Person Exams During Pandemic
March 23, 2020
FINRA Sanctions Scott Kozak for Soliciting $1.2 Million Away from Firm Cetera, False Statements
November 08, 2019
Cetera's Christopher Kozak Suspended for Undisclosed Outside Business Activity with Nutrition Bar Investments
October 08, 2019
IFG Broker Martin Batstone Accused of Fraud, Converting Customers' Private Securities Funds for Personal Use
September 17, 2019
JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
July 22, 2019
FINRA Disciplines LPL Financial's Eric Savell Over Undisclosed Outside Business Activity
June 11, 2018
Stacy Cheney-Jamison Barred Over Alleged $330,000 Theft from Retired Clients
June 04, 2018
FINRA Bars Harold Couglar for 20-Years of Unauthorized Outside Account Trading Activity
May 25, 2018
DOJ Charges Gary Basralian with Fraud, Suit Claims He & Preyed on Elderly Women, Royal Alliance Customers
May 22, 2018
SEC Bars Lauramarie Colangelo for Helping Tarek Bahgat Misappropriate Client Funds Under Guise of Paying Senior Citizens' Internet Bills
April 20, 2018
FBI Arrests Ex-Ameriprise Broker Li Lin Hsu for Fraud, Stealing from Clients
February 22, 2018
Darrell Rideaux Barred During Investigation into Selling Away Allegations
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
November 05, 2017
First Allied Securities' Masood Azad Barred After Investigation into Unapproved Private Securities Transactions
November 01, 2017
Former LPL Broker Thomas Breslin Sanctioned for Undisclosed Private Securities Transactions in Biopharma Penny Stock
October 23, 2017
Bae Keun Yu Suspended for Undisclosed Outside Securities Business
October 13, 2017
Ex-NFP Advisor Services Rep Robert J Regan Suspended for Improper Private Securities Transactions
October 04, 2017
Mike Crowe Sanctioned for Soliciting Investments in Undisclosed Real Estate Security with Unpaid Returns
September 22, 2017
Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds
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 07, 2017
Colorado Broker Bruce Page Barber Barred in Outside Business Activity Investigation
August 29, 2017
John Kostic Sanctioned, Disgorgement Ordered for Unauthorized Private Securities Transactions
August 25, 2017
OHO Issues Decision Barring Jim Jinkook Seol over Undisclosed EB-5 Business
August 21, 2017
Jay Dee Jordan Barred for Unsuitable ETF Trading Resulting in $8 Million Loss, Settling Away
July 21, 2017
AXA Advisors' Chad Hornaday Barred for Selling Away and Borrowing Money from Client
June 08, 2017
Ameriprise (Irvine)'s Jim Seol Barred for 'Egregious' Selling Away of $100 Million Private Placements for Immigration's EB-5 Program
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 17, 2017
Andrew Logullo Sanctioned for Selling Away, Undisclosed Outside Business, and Improper Use of Discretion Trading Penny Stocks
May 04, 2017
FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse
April 07, 2017
Tracy Turner Barred Over False and Misleading Oil-and-Gas Communications Probe
March 07, 2017
Ex-MLB Pitcher & Morgan Stanley Rep Patrick Combs Suspended for Selling Away
December 20, 2016
FINRA Bars Ken Balser After Investigation into Private Securities Transactions
November 14, 2016
FINRA Bars Ex-LPL Broker Dominic DeBruin over Undisclosed Private Securities Transactions, Depositing Client Money into Controlled Account
July 11, 2016
Update: Winston Turner Barred for Variable Annuity Fraud and/or Deception
May 19, 2016
Thrivent's Miguel Hernandez Barred for Defrauding Elderly Church-Going Client
May 09, 2016
Robert Turpin Barred for Failing to Cooperate with Selling Away Investigation
August 18, 2015
Walter Chao Fined and Suspended for Selling Facebook IPO Shares Away from LPL Financial, Supervisory Failures
March 07, 2015
FINRA Bars Broker Michael Korson for Misusing Investor Funds from an Undeclared Outside Business Activity
January 08, 2015
FINRA Files Complaint Against Bradley Claus, Alleging Improper Oil and Gas Sales, Falsely Tying a Security to Justin Timberlake
January 02, 2015
Sagepoint's Daryl R. Lemon Barred for Margin Abuse, Excess Fees After 1,000+ Transactions in Elderly Client's Discount Brokerage Account
October 14, 2014
Travis Capson, Arnab Sarkar Fined and Suspended for Failing to Disclose Outside Business Activity, Denari Capital LLC
September 18, 2014
Bradley Thomas Badger Fined and Suspended for Undisclosed Outside Trading and Real Estate Business
May 05, 2014
Popularity of Liquifying Home Equity, Cash-Out Refinancing Increases as Valuation Increases
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 25, 2013
Jerry Dean McGlothlin Barred for Unauthorized Outside Business Private Securities Activities
August 20, 2013
Jon Eric Guay Barred for False Representations, Improper Use and Conversion of $225,000 in Customer Funds
August 16, 2013
Christian Joel Brand Suspended for Soliciting $510,000 Investment from Elderly, Unsuitable Customer for Failed Project
July 01, 2013
Forrest Nolan Jackson Barred for Selling Away of Notes Related to SEC Lawsuit Defendant
June 21, 2013
Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities
June 07, 2013
Hugh Monroe Dyson, Jr. Censured, Barred and Ordered to Pay Restitution in Connection with False Representations, Phony IRS Forms and Reports
May 24, 2013
Former LPL Financial Adviser Blake Richards Charged in $2 Million Fraudulent Scheme
April 23, 2013
Martin Benjamin Feibish Barred For Scheming to Misappropriate Over $5 Million From Elderly Customer Through Fake Investment Vehicles and Forgery
March 28, 2013
James Martin Higgs Fined & Suspended for Selling EIAs Outside Firm
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
Alberto Neira Barred for Failure to Disclose Outside Business, Investment Sales
March 12, 2013
Scott Bailey Nelson Suspended and Fined for Fixed Indexed Annuity Sale Outside of Firm
January 28, 2013
After Appeal, Nolan Wayne Moore Barred and Fined for Failure to Cooperate, Allegedly Engaging in Undisclosed Outside Business Activities
October 22, 2012
Stuart L Funke Suspended for Soliciting $500,000 in Loans without Firm Approval
October 09, 2012
Complaint Issued Against John Cherry III Alleging Improper Use, Conversion of Customer Funds
August 20, 2012
FINRA Fines & Suspends Craig Lamont Miller for Improper Recommendations Outside of Firm
July 11, 2012
Thomas Brown Hammond Guilty of Theft, Ordered to Pay Over $500,000 in Restitution, Barred from Industry
July 06, 2012
Catheryne June Downs Fined and Suspended for Failure to Provide Timely Notice of Outside EIA Sales
June 06, 2012
Yong "Michael" Chen Fined, Suspended for Failure to Report Outside Business Activities
