California

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 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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Aug 3rd, 2015
Published by Jeremy Hyndman at Aug 3rd, 2015
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Investors in Notes Offered by Thompson National Properties Are Securities Fraud Victims

FINRA recently ruled in a hearing panel decision that Anthony Warren Thompson and TNP Securities, LLC, engaged in widespread securities fraud, improperly taking over $35 million […]
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Jun 25th, 2015
Published by Jeremy Hyndman at Jun 25th, 2015
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Purshe Kaplan Sterling Financial Advisor Charges Clients Double

Mr. Larry Phillips of Purshe Kaplan Sterling Investments and Phillips Group Advisors was recently fined for double-charging clients. Mr. Philips purchased notes, certificates of deposit, and […]
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Jun 18th, 2015
Published by Jeremy Hyndman at Jun 18th, 2015
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LPL Financial Advisor In Alhambra, California Borrows $19,700 From Investor And Then Lies To Firm

Emiliano Rocha Jr., formerly employed with LPL Financial and Invest Financial Corporation, has been suspended for seven months and fined $10,000. Rocha borrowed $19,700 from an […]
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Jun 15th, 2015
Published by Jeremy Hyndman at Jun 15th, 2015
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Unlicensed Financial Advisors Defraud Investors Out Of $4.3 Million

Christopher A. Novinger, Brady J. Speers, and their company, NFS Group, LLC have been sued by The Securities and Exchange Commission for defrauding investors by selling […]
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Jun 8th, 2015
Published by Jeremy Hyndman at Jun 8th, 2015
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Five Million Dollar Investment Scam Rips Off Investors In Maryland, Virginia, And California

Investors were defrauded by the employees of two separate companies, North Star Finance LLC and Capital Source Lending LLC, when the employees persuaded them to invest […]
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Jun 1st, 2015
Published by Jeremy Hyndman at Jun 1st, 2015
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Los Angeles Financial Advisor Makes Excessive Commissions With Unauthorized Trades

Armen Bahadourian, formerly registered with UnionBanc, has been fined $10,000 for violating FINRA rules, and must pay back $6,880.75 in disgorgement of wrongly earned commissions. Bahadourian […]
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