Close
Skip to Content
High Contrast
Increase Text Size
Clear All
Securities Fraud Blog
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
Videos
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
Securities Fraud Blog
Featured
Category
Select a Category
1031 Exchanges
401(k)
Account Objectives
Advertising
Aegis Capital Corp.
Aequitas
Affinity Fraud
Airbags
Alternative Investments
American Depositary Receipts (ADRs)
Ameriprise
Ameritas Investment Corp.
Angelo Talebi
Anti-Money Laundering
Arbitration
Arbitrators
Auction Rate Securities
AXA Advisors
Bambi Holzer
Berthel Fisher
Best Execution
Binary Options
Bonds
Breakpoints
Brietburn Energy
Brokercheck
Buffer Annuities
Business Development Corporations (BDCs)
Centaurus Financial
Certificates of Deposit
Cetera Advisors
CFP
Charles Schwab
Cherry-Picking
Choice of Law
Churning
Citigroup
Citizens Securities
Clearing Firm Liability
Closed-End Funds
Cockroach Culture
CoCo Bonds
Cold Calls
Commissions
Communications
Compliance
Confidentiality
Conflict of Interest
Conservation Easements
Conversion
Coronavirus
Credit Suisse
Criminal Conduct
Cross-Selling
Crowdfunding
Crown Capital Securities
Cryptocurrency
CUNA Brokerage Services
CUSO
Cybersecurity
Dark Pools
Data Security
Dawn Bennett
Department of Justice
Derivatives
Deutsche Bank
Deutsche Bank Securities
Discipline
Disclosure
Discretionary Trading
Diversified Lending Group
Due Diligence
E*Trade Securities
Edward Jones
Elder Abuse
E-Mail
Emerson Equities
Equity Indexed Annuities
ETFs
ETPs
ETRACS
Excessive Trading
Exchange Traded Notes
Expungement
Failure to Supervise
FBI
Fees
Fidelity
Fiduciary Duty
Fifth Third Securities
Finance 500, Inc.
Financial Alchemy
Financial West Group
FINRA
First Allied Securities
First Financial Equity
First Republic Bank
Fixed Annuities
Floating-Rate Bank Loan Funds
FNIC
Forgery
Free Lunch Seminars
Front Running
Frontier Funds
FSC Securities
F-Squared
Future Income Payments (FIP)
FWG
Gold and Precious Metals
Goldman Sachs
GPB Capital Holdings
GWG L-Bonds
Hedge Fund
High Frequency Trading
Home Loans
HSBC
Identity Theft
Independent Financial Group (IFG)
Initial Public Offerings
Insider Trading
Insurance
Investment Adviser
Investor Alert
IRA
JP Morgan
JP Turner
Kathleen Tarr
Kyusun "Kenny" Kim
Ladenburg Thalmann
Leverage
Life Settlements
Limited Partnerships
Lincoln Financial Services
Linn Energy
LJM Fund
Loan
LPL
Managed Futures Fund
Margin
Marijuana/Cannabis
Market Manipulation
Market-Linked Investments (MLI)
Mark-Up/Mark-Down
Master Limited Partnerships
Mediation
Merrill Lynch
Message Boards
MetLife Securities
Meyers & Associates
Microcap Stocks
MML Investors Services
Morgan Keegan
Morgan Stanley
Mortgage Backed Securities
Municipal Securities
Mutual Funds
NASAA
Net Capital Violation
Newbridge Securities Corp.
Newport Coast Securities
NEXT Financial
NFA
NFP Securities, Inc.
NMS Capital Securities
Non-Public Information
Northstar Financial Services (Bermuda)
Null
NY Life Securities, LLC
Off-Channel Communications
Oil and Gas
Oppenheimer
Options
Osaic
Outside Business Activity
Penny Stocks
Pensions
Plain English
Ponzi Scheme
Power of Attorney
Precious Metals
Preferred Securities
Private Asset Group
Private Placements
Private Securities Sales
Promissory Notes
Proprietary Products
Prospectus
Pruco Securities
Pump and Dump Scheme
Punitive Damages
Questar
Radio Shows
Raymond James
RBC
Reg BI
Registered Investment Advisor
REITs
Restitution
Restricted Stock
Reverse Convertibles
Risk
Roboadvisors
Royal Alliance
Rule Change
Sandlapper Securities
Scottrade
Seadrill Limited
SEC
Securities America
Securities Based Lending
Securities Fraud
Selling Away
Short Selling
Sigma Financial
Social Media
Solicitation
SPAC
Stifel, Nicolaus & Company
Stockcross Financial
Structured Products
Suitability
Switches
Tax
TD Ameritrade
Tenants-in-Common
Text Messages
Thrivent
Tony Barouti
Transamerica Financial Advisors
UBS
UDF
Unauthorized Trading
Unit Investment Trusts
VALIC Financial Advisors
Variable Annuities
VFG Securities
VIX
Volatility
Voya
Waddell & Reed
Wash Transactions
Wedbush Securities
Wells Fargo
Western International Securities
WestPark Capital
Whistleblower
Willow Fund
Wire Fraud
Woodbridge Group
World Group Securities
XIV
YES and CYES
Year
Select a Date
2024
2023
2022
2021
2020
2019
2018
2017
2016
2015
2014
2013
2012
Clear All
November 11, 2024
FINRA Disciplines Marc Barton for Reusing Customer Signatures on New Documents
November 05, 2024
Luis Nin of UBS' Unauthorized Trades in Dead Client's Account Result in Fines, Suspension
October 25, 2024
Morgan Stanley Broker Robert Daly Barred During Private Securities Transaction Investigation
October 10, 2024
FBL Marketing's Richard Connally Fined for Forgery
October 01, 2024
Merrill Lynch Ordered by SEC to Pay $3.8 Million for Complex Trading Strategy's Excessive Fees & Risks
September 24, 2024
IFG VP Richard Mireles, Stewart Paxton Ginn Sanctioned in $2.2 Million Churning Scheme
September 16, 2024
Nationwide Planning Associates Cited for Trying to Prevent Customers from Complaining About Firm to SEC
September 13, 2024
Stewart Ginn Agrees to Settle Charges of Churning $2.2 Million from IFG Customers
