Financial Advisors

Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Lonny Bernath of Headline Capital Management LLC Targeted By The SEC

According to the Securities and Exchange Commission, Lonny Bernath established several investment funds, but misled investors as to how their funds would be invested, and failed […]
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Nov 10th, 2015
Published by Jeremy Hyndman at Nov 10th, 2015
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Pennsylvania Investment Advisers Defraud Hundreds of Investors of Over $50 Million

A father-son investment team in Pennsylvania recently settled a lawsuit filed by the Securities and Exchange Commission (SEC) in federal court. According to the complaint, Kevin […]
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Nov 4th, 2015
Published by Jeremy Hyndman at Nov 4th, 2015
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Multimillion Dollar Ponzi Scheme in Orange County Perpetrated by Roy Dekel and Diverse Financial Corporation

According to an SEC complaint filed in federal court a few days ago, investors who trusted Roy Dekel and Diverse Financial Corporation in Newport Beach may […]
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Oct 9th, 2015
Published by Jeremy Hyndman at Oct 9th, 2015
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Lee D. Weiss of MIP Global and Family Endowment Partners Sued By SEC

The Securities & Exchange Commission has filed charges against Lee Weiss for what is, frankly, an impressive series of investment schemes and scams for a licensed […]
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Sep 28th, 2015
Published by Jeremy Hyndman at Sep 28th, 2015
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Financial Advisor Matthew J Levitt Barred From Securities Industry

Matthew Levitt, formerly of Equinox Securities in Santa Monica, has been permanently barred from the securities industry. According to the Financial Industry Regulatory Authority (FINRA), Mr. […]
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Sep 19th, 2015
Published by Jeremy Hyndman at Sep 19th, 2015
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Securities Broker Kevin R. Montoya Hides Multiple Felonies From Investors

According to Financial Industry Regulatory Authority (FINRA), California-based securities broker Kevin Robert Montoya was recently suspended for a year after failing to report multiple felonies on […]
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Sep 15th, 2015
Published by Jeremy Hyndman at Sep 15th, 2015
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David W. Unsworth Attempts to Silence Complaining Customers from FINRA

David Woods Unsworth Jr. of Belvedere, California was recently fined $25,000 and suspended for six months, according to reports from Financial Industry Regulatory Authority, or FINRA. […]
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Sep 14th, 2015
Published by Jeremy Hyndman at Sep 14th, 2015
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Alejandro A. Torres Scams $59,000 From Customer for Shady Startup Venture

Alejandro Ariel Torres of Hollywood, Florida was permanently barred and fined $59,600 plus interest in a deferred restitution to a customer, according to Financial Industry Regulatory […]
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Sep 13th, 2015
Published by Jeremy Hyndman at Sep 13th, 2015
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Permanently Barred: Advisor Cecilia Le at J.P. Morgan Securities Steals Client Money

Cecilia Carolyn Hang Minh Le of Santa Ana, California was permanently barred from “acting as a broker or otherwise associating with firms that sell securities to […]
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Sep 13th, 2015
Published by Jeremy Hyndman at Sep 13th, 2015
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John M. Saad Permanently Barred After Falsifying Expense Reports

John Michael Elias Saad of Atlanta, Georgia was recently barred “from acting as a broker or otherwise associating with firms that sell securities to the public.” […]
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