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Jonathan Warren Evans
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Jonathan Evans’s Legal Guides

13 total


  • LPL to Pay Record $9 Million for Failures Related to Hundreds of Millions of E-Mail Communications

    FINRA fined LPL Financial LLC an industry-record $7.5 million for at least 35 separate and significant failures of the firm's e-mail system. LPL was also ordered to establish a $1.5 million fund to compensate affected customers. News Release: LPL to Pay $9 Million for Systematic...

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  • Massachusetts Reaches $9.6 Million Settlement with Five Firms Over Non-Traded REIT Sales

    The Commonwealth of Massachusetts reached a $9.6 million settlement with five firms related to improper sales of nontraded real estate investment trusts ("REITs"), including $8.6 million in restitution and $975,000 in fines. The settlement concerns the five firms' alleged viola...

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  • FNRA Files Complaint against John Thomas Financial & it’s CEO for Committing Multiple Violations

    The Financial Regulatory Authority (FINRA) announced that it filed a complaint against John Thomas Financial (JTF), of New York, NY, and its Chief Executive Officer. The FINRA charged the company and its CEO with fraud in connection with the sale of America West Resources, Inc. (...

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  • Former Stockbroker Pleads Guilty to Conspiracy to Commit Securities Fraud & Two Counts of Securities

    Bloomberg published an article regarding a former New York stockbroker who admitted to sharing insider tips on International Business Machine Corporations (IBM) $1.2 billion acquisition of SPSS Inc. In a Manhattan federal court, the 35-year-old stockbroker pleaded guilty to consp...

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  • FNRA Files Complaint against John Thomas Financial & Their CEO for Committing Multiple Violations

    The Financial Regulatory Authority (FINRA) announced that it filed a complaint against John Thomas Financial (JTF), of New York, NY, and its Chief Executive Officer. FINRA charged the company and its CEO with fraud in connection with the sale of America West Resources, Inc. (AWSR...

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  • Former Stockbroker Pleads Guilty to Conspiracy to Commit Securities Fraud

    Bloomberg published an article regarding a former New York stockbroker who admitted to sharing insider tips on International Business Machine Corporations (IBM) $1.2 billion acquisition of SPSS Inc. In a Manhattan federal court, the 35-year-old stockbroker pleaded guilty to consp...

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  • Senators Spearhead Investigation into Rise in Gas Prices

    California Securities Fraud Attorney The most recent spike in gas prices left Californians paying more than $5 a gallon at the pumps in October. Although analysts blamed the rise in prices on problems in refineries, a review of the data that involves refinery emissions and the ti...

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  • Securities Fraud on the Internet

    Beware of Online Advertisements The Securities and Exchange Commission recently warned internet users to beware of a new method of raising funds illegally through crowdfunding, crowdsourcing, or other word combinations using the word crowd. An Obama administration program named J...

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  • Brokerage Firms Neglecting Client Needs

    The Financial Industry and Regulatory Authority (FINRA) recently levied a substantial fine against one of the nations largest brokerage firms for overcharging customers in fees adding up to several million dollars. FINRA ordered the brokerage house to repay the overages to the cu...

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  • Common Claims Upon Which Investment Losses May Be Recovered

    Common Claims Concerning Securities Fraud If you have suffered losses concerning your securities investments and feel that it may be due to fraud or misconduct on the part of your broker, brokerage firm or investment advisor, you may be able to file a claim to recover your damage...

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