California

Apr 6th, 2015
Published by Jeremy Hyndman at Apr 6th, 2015
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California Financial Advisor Issues Private Securities Without Reporting To Firm, Putting Investors At Risk

A financial advisor in Aptos, California has allegedly made private transactions without the permission of his firm. Daniel McCourt, while working for Foothill Securities, Inc., began […]
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Apr 4th, 2015
Published by Jeremy Hyndman at Apr 4th, 2015
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Irvine Stockbroker Fails to Reveal Tax Liens

Mark Cox (“Cox”) and PFS Investments, Inc. (“PFS”) received a fine and suspension for failing to disclose IRS tax liens on his Form U4, withholding crucial […]
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Apr 2nd, 2015
Published by Jeremy Hyndman at Apr 2nd, 2015
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Danville Financial Advisor Violates FINRA Rules, Putting Investors At Risk

A Danville financial advisor with Grigsby & Associates, Calvin Grigsby, has been fined $10,000 for deliberately violating FINRA rules by acting as a Financial and Operations […]
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Apr 2nd, 2015
Published by Jeremy Hyndman at Apr 2nd, 2015
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Key West Investments Fined for Unlawful Sale of Private Securities

Key West Investments, LLC (Key West), a California based brokerage firm, was recently fined for improper sales of private placements. Private securities are investments offered to […]
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Mar 31st, 2015
Published by Jeremy Hyndman at Mar 31st, 2015
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Northwestern Mutual Hires Unlicensed Stock Broker, Who Then Forges Client Documents

In San Jose, Northwestern Mutual Investment Services hired Patrick Llewellyn as a financial advisor, although he was was not yet licensed. Llewellyn forged twelve customers’ signatures […]
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Mar 20th, 2015
Published by Jeremy Hyndman at Mar 20th, 2015
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Irvine Stockbroker Barred From Securities Industry For Improper Withdrawals From Investor’s Account

Peter Kim, a former stockbroker with Morgan Stanley, has been barred from the securities industry. According to FINRA, Kim refused to cooperate with an investigation into […]
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Mar 19th, 2015
Published by Jeremy Hyndman at Mar 19th, 2015
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Wedbush Securities Busted For Failing To Disclose Customer Complaints, Harming The Investing Public

Wedbush Securities is in hot water for failing to timely and properly disclose its brokers’ bankruptcies, customer complaints, criminal allegations, and other serious matters. According to […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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Martin Kelly Capital Management Defrauds Professional Athletes

The SEC filed fraud charges against investment adviser Bill Crafton of Martin Kelly Capital Management. Apparently, Mr. Crafton has provided advisory services for professional athletes in […]
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Jan 12th, 2015
Published by Jeremy Hyndman at Jan 12th, 2015
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SEC Accuses Prima Capital of Misappropriating Investor Funds

According to the Securities and Exchange Commission, Prima Capital Group and its owner, Efstratios “Elias” Argyropoulos, frittered away customer money on unauthorized day trading. Investors believed […]
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Dec 8th, 2014
Published by Jeremy Hyndman at Dec 8th, 2014
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California Variable Annuities Broker Swapped Fluids to Close Sales

Antonio “Pedro” Vergaray Falcon of Granada Hills, California was terminated from NY Life after an internal investigation concluded that he had provided his own fluid samples […]
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