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Jonathan Warren Evans
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Jonathan Evans’s Legal Guides

13 total


  • Regulators Sanction Brokerage Firms for Improper Sales of Leveraged and Inverse ETFs

    FINRA Sanctions Four Firms $9.1 Million for Improper Leveraged and Inverse ETF Sales On May 1, 2012, FINRA (The Financial Industry Regulatory Authority) announced that it sanctioned Citigroup Global Markets, Inc.; Morgan Stanley Co., LLC; UBS Financial Services; and Wells Farg...

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  • Recognizing Investment Losses

    Recognizing Investment Losses The rules that regulate the securities industry and investment firms when they are investing other people's money and advising investors are extremely complex and most are written in another "language." An experienced California securities arbitr...

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  • Types of Stock Broker Misconduct Which May be Compensable

    Types of Misconduct by your Broker There are many types of misconduct possible on the part of a broker or financial advisor. We will cover some of the most common here to give you some idea of what to look for and be aware of. For a thorough understanding of each of these, we enc...

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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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  • 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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  • 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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  • 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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  • 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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  • 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 & 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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