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Updated:
Ameriprise Pays $230,000 Securities Fraud Fine for Selling High-Fee Mutual Fund Shares
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Updated:
Justice for Small Investors Using FINRA’s Simplified Arbitration Process
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Updated:
October is FINRA Mediation Settlement Month
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Updated:
Securities Whistleblower Awarded More Than $1.7 Million by SEC
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Updated:
Another Securities Arbitration Win for University of San Francisco School of Law
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Updated:
Morgan Stanley Smith Barney Liable for Aiding and Abetting Financial Elder Abuse
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Updated:
A Securities Lawyer’s Advice to Would-be Whistleblowers
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Updated:
A Securities Lawyer’s Top 10 Tips for Senior Investors
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Updated:
Investor Alert: Magnum Hunter Resources to be Delisted
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Updated:
Leveraged & Inverse ETFs: Public Enemy Number One
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Updated:
LPL Financial LLC Fined Again Over Sale of Non-Traded REITs
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Updated:
Investor Complaints Re: Jane Everingham & Everingham O’Malley
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Updated:
Customer Complaints Regarding Charles Lynch
:
Updated:
Investor Complaints Regarding Charles Frieda
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Updated:
LPL Financial: What Customers Need to Know About Restitution
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Updated:
LPL Financial Ordered to Pay $10 Million Fine and $1.7 Million in Restitution to Customers for Supervisory Lapses
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Updated:
Alcala Law Firm Files FINRA Arbitration Claim Against LPL Financial Over Risky Investments
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Updated:
Compliance Officer Receives Million Dollar Whistleblower Award
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Updated:
ALF Files Elder Abuse Claim Against Cantella & Co.
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Updated:
More Accurate Share Price Reporting to be Required for Non-Traded REITs and DPPs
:
Updated:
SEC’s Securities Fraud Whistleblower Program Paying Off
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Updated:
March – April 2014 Disciplinary Actions
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Updated:
Update: Charles Schwab to Allow Customer Class Actions
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Updated:
Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sales
:
Updated:
Inland American Real Estate Trust Announces Tender Offer at $6.50 – $6.10 Per Share
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Updated:
Berthel Fisher Fined $775,000 for the Inappropriate Sale of REITs and ETFs
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Updated:
“Wolf of Wall Street” High Pressure Sales Tactics
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Updated:
A Handful of Stifel, Nicholas & Company Customers to Recover Losses for Unsuitable Sales of Leveraged and Inverse ETFs
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Updated:
Closed-End Fund IPOs Often Give Investors the Short End of the Stick
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Updated:
Investing in Closed-End Fund IPOs: A Risky Bet
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Updated:
Crown Capital Securities L.P. Investor Complaints
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Updated:
Former Stockbroker for Wells Fargo and Morgan Stanley Indicted for Securities Fraud
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Updated:
Commonwealth of Massachusetts Recovers Over $11 Million for Victims of Unsuitable REIT Sales
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Updated:
J.P. Morgan Securities Broker Expelled for Selling Personal Customer Information
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Updated:
Securities America Fined $100,000 Over IMH Secured Loan Fund & Medical Capital Sales Practices
:
Updated:
UBS Willow Fund L.L.C. Class Action Update
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Updated:
Update 1: FINRA Appeals Charles Schwab Class Action Ban
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Updated:
Elder Financial Abuse is Underreported and Under-Prosecuted
:
Updated:
Charles Schwab Allowed to Prevent Customer Class Action Lawsuits
:
Updated:
Merrill Lynch Enters the Non-Listed REIT Market
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Updated:
ALF Pursues Securities Arbitration Claim Against Wells Fargo Advisors Over Sale of Dividend Capital Total Realty Trust
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Updated:
Investors Beware: Non-Listed REITs
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Updated:
Is FINRA’s BrokerCheck Broken?
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Updated:
Worst Investments of 2012
:
Updated:
LPL Financial, LLC Under Fire for Sale of Non-Traded REITS
:
Updated:
Webush Securities Fined Again for Supervisory Lapses
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Updated:
FINRA’s Securities Arbitration Program to be More Available to Investment Advisors
:
Updated:
ALF Investigating Claims Involving San Diego Investment Advisor Ray Lucia
:
Updated:
United Planners Fined $200,000 Over Variable Annuity Sales
:
Updated:
Brokers Behaving Badly: Elder Financial Abuse
:
Updated:
ProShares ETF Class Action Dismissed: Aggrieved Investors Should Consider Their Options
:
Updated:
Securities Fraud Whistleblower Receives $50,000 Reward
:
Updated:
Wedbush Securities Founder Suspended for Supervisory Violations
:
Updated:
Former Ameritas Broker Barred From Industry for Securities Fraud
:
Updated:
Securities Fraud Whistleblower Payout Expected
:
Updated:
Are Stockbrokers Required to Tape Record Customer Conversations?
:
Updated:
What are IMH Financial Corporation Shares Worth?
:
Updated:
California Stockbroker Discipline Report for January – March 2012
:
Updated:
Tentative Settlement Reached in IMH Class Action
:
Updated:
SEC Charges Southern California Stockbroker With Securities Fraud and Misappropriating Over $3 Million in Client Funds
:
Updated:
California Stockbroker Discipline Report for September – December 2011
:
Updated:
Highland Floating Rate Fund Undergoes Metamorphosis in Name Only
:
Updated:
SEC Adopts Regulations to Preclude the Sale of Private Placements to Small Investors
:
Updated:
Wells Fargo Investments Fined $2 Million for Unsuitable Reverse Convertible Note Sales
:
Updated:
Ameritas Investment Corporation Suing Its Own Brokers Over Customer Losses in Sale of Private Placement
:
Updated:
J.P. Morgan Chase Fined $1.7 Million by Securities Regulators for Unsuitable Sales Practices Involving Floating-Rate Funds & UITs
:
Updated:
Regulators Concerned About Brokers Claiming to be “Senior Specialists”
:
Updated:
IMH Secured Loan Fund: Here Come the Lawyers!
:
Updated:
Senior Citizens Have a New Financial Watchdog
:
Updated:
California Securities Fraud Lawyer News Flash: AXA Investment Executive Settles Securities Fraud Charges
:
Updated:
California Stockbroker Discipline Report for May – August 2011
:
Updated:
Highland Floating Rate Funds’ Poor Performance Leads to Investor Lawsuits
:
Updated:
IMH Financial Corporation’s CEO Shane Albers unloads stock at a premium of $8.02 per share
:
Updated:
Citigroup Fined $500,000 for Failure to Supervise and Detect Theft of Customer Funds at Palo Alto, California, Office
:
Updated:
Stockbroker Breach of Fiduciary Duty is the Number One Investor Complaint
:
Updated:
More Bad News for Life Partners Holdings
:
Updated:
Former UBS Financial Services Advisor Pleads Guilty to Securities Fraud
:
Updated:
So you want to be a whistleblower?
:
Updated:
Toxic ETFs
:
Updated:
SEC Approves Final Rules For Securities Fraud Whistleblower Program
:
Updated:
ALF Investigating Claims Involving Lifestyle Design Group
:
Updated:
Life Partners Holdings Receives Wells Notice
:
Updated:
California Stockbroker Discipline Report for the First Quarter of 2011
:
Updated:
IMH Financial Corporation Planning a $50 Million Recapitalization Loan and Shareholder Tender Offer
:
Updated:
Investor Sues Ameritas Over Recommendation to Use Real Estate Loans to Invest in Private Placements
:
Updated:
IMH Financial Corporation’s Latest SEC Filing Reflects a 73% Decline in Value
:
Updated:
SEC Files Securities Fraud Lawsuit Against Southern California Wealth Manager
:
Updated:
SEC Files Securities Fraud Lawsuit Against San Francisco Bay Area Financial Advisor
:
Updated:
University of San Francisco’s Investor Justice Clinic Helps Investor Recover $43,177 From Chase Investment Services LLC
:
Updated:
Five Ways to Help Others Avoid Securities Fraud
:
Updated:
E*Trade Faces Regulatory Scrutiny Over Auction-Rate Securities
:
Updated:
Wrap Accounts Are a Poor Choice for Conservative Investors
:
Updated:
Is the IMH IPO Going Forward?
:
Updated:
IMH’s Financial Troubles Reported in Today’s Wall Street Journal
:
Updated:
Charles Schwab Agrees to Pay SEC $118 Million to Settle YieldPlus Charges
:
Updated:
IMH Financial Corporation Shares Valued at 1/3 the Original Purchase Amount
:
Updated:
Investors Have Suffered Significant Losses In These Leveraged Funds
:
Updated:
California Stockbroker Discipline Report for the Fourth Quarter of 2010
:
Updated:
Ponzi victims suing stockbrokers who recommended Draseena Funds Group investment
:
Updated:
SEC Files Securities Fraud Charges Against San Francisco Investment Advisors
:
Updated:
Are Leveraged and Inverse ETFs Suitable for You? (Part 4 of 4)
:
Updated:
Securities Regulators Step Up Oversight of Leveraged and Inverse ETFs (Part 3 of 4)
:
Updated:
What Are Leveraged and Inverse ETFs? (Part 2 of 4)
:
Updated:
If It Looks Too Good to Be True, It’s Probably a Leveraged (or Inverse) ETF (Part 1 of 4)
:
Updated:
IMH Initial Public Offering (IPO) Put on Hold
:
Updated:
Charles Schwab Backs Out of Yield Plus Class Action Settlement
:
Updated:
SEC Proposes New Whistleblower Program Rules
:
Updated:
IMH Financial Corporation Files for IPO
:
Updated:
Syndicated Radio Show Host Charged With Securities Fraud
:
Updated:
IMH Secured Loan Fund | IMH Financial Corporation Update
:
Updated:
FINRA Takes Steps to Level the Playing Field for Investors
:
Updated:
U.S. Justice Department Files Securities Fraud Lawsuit Against San Francisco Man for Perpetrating a Ponzi Scheme
:
Updated:
California Stockbroker Discipline Report for August and September 2010
:
Updated:
Medical Capital Movie “The Perfect Game” Strikes Out
:
Updated:
Investor Alert: Beware of Stockbrokers That Prey on Bank Customers
:
Updated:
Montana Securities Regulators Take Disciplinary Action Against Securities America Over Medical Capital Fiasco
:
Updated:
Securities Regulators Vow to Make the Protection of Senior Investors a Top Priority
:
Updated:
California Stockbroker Discipline Report for July 2010
:
Updated:
Investor Home Equity to be Excluded from $1 Million Minimum Net-Worth Requirement for Accredited Investors
:
Updated:
SEC Launches Securities Fraud Whistleblower Program
:
Updated:
Colorado Securities Commissioner Files Notice of Charges Against E*Trade Securities Regarding Auction Rate Securities
:
Updated:
FBI Reports 105% Increase in High Yield Investment Fraud Investigations
:
Updated:
California Stockbroker Discipline Report for June 2010
:
Updated:
IMH Secured Loan Fund: Investor Class Action Filed
:
Updated:
California Stockbroker Discipline Report for May 2010
:
Updated:
FINRA Files Complaint Against Thomas Weisel Partners LLC Over Sale of Auction Rate Securities (ARS)
:
Updated:
IMH Secured Loan Fund IPO: Management Wants to Come Out of Hibernation
:
Updated:
California Stockbroker Discipline Report for April 2010
:
Updated:
It’s Time to Change the Accredited Investor Rule for Private Placements
:
Updated:
Charles Schwab Settles YieldPlus Class Action Securities Lawsuit
:
Updated:
Medical Capital Update: Stockbroker’s License Revoked for Violating the Prohibition Against General Solicitations
:
Updated:
IMH Secured Loan Fund Tender Offer (Update 1)
:
Updated:
California Stockbroker Discipline Report for March 2010
:
Updated:
Morgan Stanley to Pay Over $7 Million for Dispensing Unsuitable Early Retirement Investment Advice
:
Updated:
Medical Capital Executives Face Criminal Investigation
:
Updated:
Massachusetts Securities Regulators Subpoena Six Brokers Over Sale of Medical Capital Holdings and Provident Royalties
:
Updated:
IMH Secured Loan Fund Tender Offer
:
Updated:
Provident Asset Management is Finally Expelled by FINRA for Securities Fraud in Connection with Massive Ponzi Scheme
:
Updated:
Securities Arbitration vs. Class Actions: Which is More Financially Rewarding?
:
Updated:
First Allied Securities Enters Into $1.95 Million Settlement with SEC Over Failure to Supervise Broker
:
Updated:
California Stock Psychic Sued by SEC for Securities Fraud
:
Updated:
Even for Accredited Investors, Stockbroker Recommendations to Buy Private Placements Are Subject to the Suitability Rule
:
Updated:
California Stockbroker Discipline Report for February 2010
:
Updated:
Provident Royalties Bankruptcy Update: Investors Should Look Before They Leap
:
Updated:
Medical Capital Securities Fraud Lawsuit Update
:
Updated:
SEC Files Securities Fraud Lawsuit Against Two Sacramento Men For Misappropriating $10 Million From Investors
:
Updated:
Is Mass-Arbitration in the Client’s Best Interest?
:
Updated:
Variable Annuity Exchanges and Replacements: Stockbroker Liability for Failing to Facilitate a Tax-Free 1035 Exchange
:
Updated:
IMH Secured Loan Fund Investigation Update No. 2
:
Updated:
California Stockbroker Discipline Report for January 2010
:
Updated:
Medical Capital Securities Fraud Update
:
Updated:
IMH Secured Loan Fund Investigation Update 1
:
Updated:
State of California to Receive $779,795 in Regulatory Action Over the Unsuitable Sale and Exchange of Variable Annuities
:
Updated:
IMH Secured Loan Fund Securities Lawsuit Alert
:
Updated:
Medical Capital Update: Massachusetts Regulators Charge Securities America With Securities Fraud
:
Updated:
Securities Arbitration Award Results for 2009 Better Than Expected for San Francisco Investors
:
Updated:
California Stockbroker Discipline Report for December 2009
:
Updated:
California Based Pacific Cornerstone Capital Fined $750,000 Over Private Placements
:
Updated:
SEC Files Securities Fraud Lawsuit Against Brookstreet Securities of Irvine, California
:
Updated:
SEC Strikes at Striker Petroleum for Securities Fraud
:
Updated:
Medical Capital Holdings & Provident Asset Management Securities Fraud Update
:
Updated:
Reminder to California Schwab Yield Plus Investors: Class Action Opt Out Deadline Looming
:
Updated:
California Stockbroker Discipline Report for November 2009
:
Updated:
Wells Fargo Bank and Bank of New York Mellon Involved In Medical Capital Securities Class Action
:
Updated:
SEC Reaches Settlement With San Francisco Brokerage Firm Regarding Failure to Supervise Securities Fraud Committed by Rogue Stockbroker
:
Updated:
Encouraging News for Securities Arbitration Claimants?
:
Updated:
California Stockbroker Discipline Report for October 2009
:
Updated:
Schwab Receives Wells Notice From SEC Regarding Schwab YieldPlus Fund and Total Bond Market Fund
:
Updated:
Deadline to Opt-Out of Schwab YieldPlus Class Action Set for December 28, 2009
:
Updated:
FINRA Dispute Resolution Expands Pilot Program for Securities Arbitration Panels
:
Updated:
California Stockbroker Discipline Report for September 2009
:
Updated:
Medical Capital Class Action or Arbitration: Investors Should Consider Their Options
:
Updated:
California Court Certifies Schwab YieldPlus Class Action
:
Updated:
Expedited Arbitration Procedures for Senior Citizens and Seriously Ill Investors
:
Updated:
Sales Assistant in Smith Barney’s Palo Alto, California, Branch Office Barred for Securities Fraud Law Violations
:
Updated:
Securities Fraud Case Filed Against San Francisco-Based Charles Schwab for Fraudulent Sales of Auction Rate Securities (ARS)
:
Updated:
FINRA Sanctions Merrill Lynch and UBS for Failing to Supervise the Sale of Closed-End Funds
:
Updated:
FINRA Sanctions Brokerage Firms Affiliated with Wells Fargo and Washington Mutual Banks for Variable Annuity Sales Violations
:
Updated:
San Francisco’s Charles Schwab Corp. Facing New Securities Fraud Allegations Over the Sale of Auction Rate Securities
:
Updated:
Why Having a California Licensed Securities Arbitration Lawyer is So Important
:
Updated:
About the Financial Industry Regulatory Authority (FINRA)
:
Updated:
San Francisco, California, Securities Arbitration Award Results During First Half of 2009 Are Well Below FINRA’s Nationwide Average
:
Updated:
Securities Fraud Victims Get Free Legal Assistance from University of San Francisco Law Students
:
Updated:
What if Your Broker Goes Out of Business?
:
Updated:
The “Scam Meter”
:
Updated:
Looking Back: The Trouble with Variable Annuities
:
Updated:
Securities Arbitration vs. Class Actions: Consider Your Options
:
Updated:
Is Your Broker Looking Out for You?
:
Updated:
Elder Financial Abuse
:
Updated:
Check Your Broker
California Securities Fraud Lawyer Blog