California

Dec 23rd, 2015
Published by Jeremy Hyndman at Dec 23rd, 2015
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Al Doherty of Citigroup’s San Ramon Office Punished For Improperly Taking Money From Elderly Investor

Allison “Al” Taiye Doherty will have some extra time on her hands after receiving a four month suspension from the securities industry. According to the Financial […]
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Dec 23rd, 2015
Published by Jeremy Hyndman at Dec 23rd, 2015
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VGTel Investment Fraud By Edward Durante aka Ted Wise Scams Over Fifty Investors Of $11 Million In Pump-And-Dump Scheme

Many investors in VGTel are learning that the man who they met as Ted Wise is not who he claimed to be, and that their investments […]
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Nov 27th, 2015
Published by Jeremy Hyndman at Nov 27th, 2015
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Integrated Trading And Investments Financial Advisor Wayne Thaler Overcharged Clients in Metter, Georgia

A Georgia financial advisor, Wayne Thaler, has been barred from the brokerage industry for three months for charging inflated commissions on the sale of penny stocks. […]
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Nov 27th, 2015
Published by Jeremy Hyndman at Nov 27th, 2015
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OneAmerica Financial Advisor Brantly Chavis Jr. Steals At Least $25,000 From Customer In Aliso Viejo

A OneAmerica broker in Aliso Viejo, California, has been permanently barred from the brokerage industry for conduct that can only be described as shocking. While working […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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Head of Enviso Capital Ryan Bowers Fined and Suspended By FINRA For Withholding Information From Investors In San Diego.

Ryan Neel Bowers of Enviso Capital has been fined $25,000 and suspended from the brokerage industry for five months for failure to make important disclosures to […]
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Nov 20th, 2015
Published by Jeremy Hyndman at Nov 20th, 2015
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James (“Jim”) Belenis of KMS Financial Fined and Suspended For Improper Sales of Gold Mining Company in Davis California

James D. (“Jim”) Belenis of KMS Financial in Davis, California went off the reservation and ended up in a gold mine. Mr. Belenis broke FINRA rules. […]
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Nov 11th, 2015
Published by Jeremy Hyndman at Nov 11th, 2015
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Investors Overcharged at National Planning Corp, a Jackson National Life Affiliate

The Financial Industry Regulatory Authority (FINRA) recently fined National Planning Corporation (NPC) $30,000 for overcharging clients who purchased non-traded REITs. Non-traded REITs are a risky, illiquid […]
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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 22nd, 2015
Published by Jeremy Hyndman at Oct 22nd, 2015
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Glendale Securities Settles Front Running Allegations With FINRA

Glendale Securities of Sherman Oaks, California recently agreed to a $12,500 fine and interest payments due to “front running” trades. A broker-dealer engages in front running […]
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Sep 28th, 2015
Published by Jeremy Hyndman at Sep 28th, 2015
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Equinox Securities Caused Massive Investment Losses, FINRA Alleges

According to a Complaint recently filed by FINRA (the Financial Industry Regulatory Authority), Equinox Securities may be responsible for decimating the retirement accounts of several investors. […]
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